Alan Benjamin Ramsey
Professional Summary
Alan Benjamin Ramsey was a registered financial advisor. Alan was a previously registered financial professional and started their career in finance 1996 - 2012. Alan had worked at 5 firms and has passed the Series 63, Series 7, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
EFUTURES | WOLCOTT & LINCOLN DIVISION | SERVICE ASSET MANAGEMENT COMPANY | PENSON GHCO | PENSON FUTURES, A DIVISION OF PENSON FINANCIAL SERVICES, INC. | PENSON FINANCIAL SERVICES, INC. | FIRST CAPITOL AG
Contact Information
Established
North Carolina since 10/17/1989Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
23Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Feb 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Feb 2002About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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