Alan B. Ramsey
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.
Alan Benjamin Ramsey was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1996. Alan had worked at 5 firms and has passed the Series 63, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2010 - June 12, 2012
PENSON FINANCIAL SERVICES, INC.
September 12, 2005 - July 7, 2010
APEX CLEARING CORPORATION
October 28, 2004 - September 12, 2005
APEX CLEARING CORPORATION
October 1, 1997 - November 1, 2004
BANC OF AMERICA SECURITIES LLC
January 24, 1997 - October 1, 1997
MONTGOMERY SECURITIES
June 12, 1996 - January 28, 1997
GUARANTY BROKERAGE 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
PENSON FINANCIAL SERVICES, INC.
CRD#: 25866 / SEC#: , 8-42095
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Arbitration | 10 |
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.
