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RM

Ralph J. Mollica

PARSONEX SECURITIES
Englewood, CO 80112
Some features on this profile are disabled
CRD#: 2955353
RM

Professional summary

Ralph Jude Mollica is a registered financial professional currently at PARSONEX SECURITIES, INC. located in Englewood, Colorado.

Ralph is registered as a RR (Registered Representative) and started their career in finance in 1997. Ralph has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ralph Jude Mollica's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 12, 2013 - Present

PARSONEX SECURITIES, INC.

Office #1: 8310 S. Valley Highway Suite 110, Englewood, CO 80112
BD
CRD#: 144412
Englewood, CO
Past

December 15, 1997 - August 13, 2013

PFS INVESTMENTS INC.

BD
CRD#: 10111
GRAND JUNCTION, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(8/13/2013)
RR
North Carolina
(6/22/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 12/11/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/13/1997
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PARSONEX SECURITIES, INC.
PARSONEX FINANCIAL SERVICES, INC. | PARSONEX SECURITIES, INC.

CRD#: 144412 / SEC#: , 8-67652

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
8310 S. Valley Highway Suite 110, Englewood, CO 80112
Mailing Address
8310 S. Valley Highway Suite 110, Englewood, CO 80112
Phone number
(303) 662-8700
Established
Colorado since 03/07/2007
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PARSONEX ENTERPRISES, INC.SHAREHOLDER
DIAMOS, ANTHONY SOLONFINOP/CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER4872899
MILLER, JONATHAN EDWARDPRESIDENT / CEO4153196
NEUSTROM, BRIAN WILLIAMCHIEF COMPLIANCE OFFICER5530526

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.

Company Information

PARSONEX SECURITIES, INC.

CRD#: 144412Englewood, CO 80112

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