Ralph G. Kaiser
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ralph Gunther Kaiser was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1973. Ralph had worked at 14 firms and has passed the Series 63, Series 3, Series 7, Series 15, Series 1, Series 27, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2008 - July 13, 2009
THINKEQUITY LLC
September 9, 2004 - July 17, 2006
R.G. KAISER LLC
January 15, 2003 - August 26, 2004
1ST MUNICH CAPITAL, LLC
May 24, 2000 - May 10, 2001
1ST DISCOUNT BROKERAGE, INC.
May 13, 1997 - December 31, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 3, 1994 - October 16, 1995
M. J. WHITMAN, INC.
May 17, 1993 - April 18, 1994
CIBC WORLD MARKETS CORP.
May 5, 1993 - May 19, 1993
MEYERS POLLOCK ROBBINS, INC.
December 4, 1986 - January 17, 1989
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
September 16, 1977 - October 26, 1984
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
August 26, 1976 - August 27, 1976
BACHE & CO INCORPORATED
November 13, 1975 - September 7, 1976
E. F. HUTTON & COMPANY INC
November 13, 1973 - June 9, 1974
DREXEL BURNHAM LAMBERT INCORPORATED
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
Series 15
Date: 6/23/1983
Foreign Currency Options ExaminationSeries 1
Date: 11/12/1973
Registered Representative ExaminationSeries 8
Date: 1/23/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THINKEQUITY LLC
CRD#: 44274 / SEC#: 801-63835, 8-50602
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THINKEQUITY HOLDINGS LLC | HOLDING COMPANY OF THINKEQUITY LLC | |
| ARMSTRONG, MICHAEL BENJAMIN | CHIEF OPERATING OFFICER OF RESEARCH | 2806297 |
| BRITT, HARRIET JAYNE | CHIEF COMPLIANCE OFFICER | 1429634 |
| GONSALVES, DOUGLAS RONALD | HEAD OF INVESTMENT BANKING | 2356831 |
| HANSEN, HOLLY JOY | HEAD OF INSTUTIONAL SALES & DIRECTOR OF RESEARCH | 2169008 |
| JOHNSTON, PHILIP MURRAY | HEAD OF SALES TRADING | 1730461 |
| MACHIN, FRANCISCO JAVIER | CONTROLLER/FINOP | 4698240 |
| MONOPOLI, JACK GIACOMO | HEAD OF TRADING | 1718078 |
| NOLLENBERGER, BRUCE WESTON | HEAD OF THINKEQUITY ASSET AND WEALTH MANAGEMENT | 823846 |
| RAJ, DEEPAK DEV | EXECUTIVE VICE PRESIDENT | 2817606 |
| WEITGENANT, DAVID ANDREW | CROP & SROP | 2096196 |
| WRIGHT, GREGORY LANCE | CHIEF EXECUTIVE OFFICER | 1564124 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
