Kenneth H. Ratcliffe
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.
Kenneth Holsey Ratcliffe, who also goes by Ken Ratcliffe, Kenneth H Ratcliffe, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1998. Kenneth had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2014 - March 11, 2015
COHEN & COMPANY SECURITIES, LLC
June 8, 2007 - September 10, 2014
VINING-SPARKS IBG, LLC
April 5, 2007 - June 7, 2007
INTL ADVISORY CONSULTANTS INC.
February 20, 2007 - June 7, 2007
STERNE, AGEE & LEACH, INC.
June 24, 2004 - December 14, 2006
RBC CAPITAL MARKETS, LLC
June 17, 2004 - December 14, 2006
RBC CAPITAL MARKETS, LLC
July 1, 2003 - June 17, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - June 17, 2004
WELLS FARGO CLEARING SERVICES, LLC
May 30, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 26, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 18, 1999 - June 13, 2000
COWEN AND COMPANY
January 2, 1998 - April 28, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COHEN & COMPANY SECURITIES, LLC
CRD#: 149758 / SEC#: , 8-68186
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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