Ryan L. Carpel
Professional summary
Ryan Lawrence Carpel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ryan is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Ryan had worked at 13 firms, which includes TRADESTATION SECURITIES INC., SECURITY RESEARCH ASSOCIATES INC., J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., GRACE FINANCIAL GROUP LLC, NEXT GENERATION EQUITY RESEARCH LLC, UBS FINANCIAL SERVICES INC., TERRA NOVA FINANCIAL LLC, TREND TRADER LLC, WEB STREET SECURITIES INC., LASALLE ST SECURITIES L.L.C., MORGAN STANLEY DW INC., AMERIPRISE ADVISOR SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2014 - May 14, 2015
TRADESTATION SECURITIES, INC.
September 13, 2013 - April 9, 2014
SECURITY RESEARCH ASSOCIATES, INC.
October 1, 2012 - January 24, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - January 24, 2013
J.P. MORGAN SECURITIES LLC
April 20, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 20, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 26, 2009 - May 2, 2012
GRACE FINANCIAL GROUP LLC
July 31, 2007 - February 27, 2009
NEXT GENERATION EQUITY RESEARCH LLC
November 16, 2004 - August 18, 2005
UBS FINANCIAL SERVICES INC.
November 12, 2004 - August 18, 2005
UBS FINANCIAL SERVICES INC.
November 20, 2000 - November 9, 2004
TERRA NOVA FINANCIAL, LLC
April 3, 2000 - May 30, 2000
TREND TRADER, LLC
August 15, 1997 - February 9, 2000
WEB STREET SECURITIES, INC.
December 2, 1996 - April 8, 1997
LASALLE ST SECURITIES, L.L.C.
February 9, 1996 - September 20, 1996
MORGAN STANLEY DW INC.
November 17, 1995 - January 24, 1996
AMERIPRISE ADVISOR SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
Red Flags
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