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RL

Ralph T. Lachman

Some features on this profile are disabled
CRD#: 300202
RL

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 Theodore Lachman was a registered financial professional .

Ralph is a previously registered financial professional and started their career in finance in 1969. Ralph had worked at 12 firms and has passed the Series 1 and Series 40 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 30, 1987 - June 20, 1990

WILSHIRE CLEARING CORPORATION

BD
CRD#: 18724
Past

February 18, 1986 - December 22, 1986

KETTLER & COMPANY

BD
CRD#: 10530
Past

December 1, 1983 - December 18, 1987

EASTERN CAPITAL CORPORATION

BD
CRD#: 7910
Past

November 13, 1979 - November 30, 1982

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

October 23, 1978 - April 19, 1979

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

November 17, 1976 - March 17, 1978

SHEARSON HAYDEN STONE INC.

BD
CRD#: 7295
Past

October 7, 1976 - November 17, 1976

SHEARSON HAYDEN STONE INC.

BD
CRD#: 6774
Past

January 8, 1976 - October 9, 1976

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

August 10, 1974 - January 19, 1976

LOEB RHOADES & CO

BD
CRD#: 1000009
Past

September 24, 1973 - December 9, 1974

SHEARSON, HAMMILL & CO., INCORPORATED

BD
CRD#: 766
Past

January 11, 1972 - April 24, 1975

WEIS SECURITIES, INC.

BD
CRD#: 880
Past

June 28, 1971 - January 16, 1972

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

December 30, 1969 - September 23, 1974

DIAMOND MANAGEMENT INC

BD
CRD#: 1000004

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 1
Date: 11/27/1964
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 10/24/1974
Registered Principal Examination

Current Firm

WC
WILSHIRE CLEARING CORPORATION
LACHMAN FUTURES AND SECURITIES INC. | WILSHIRE CLEARING CORPORATION | RONCO SECURITIES INC. | LACHMAN, SPEYER & SMITH SECURITIES INC. | LACHMAN SECURITIES INC.

CRD#: 18724 / SEC#: , 8-37704

BD
Terminated by FINRA on 06/20/1990
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 04/25/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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

WILSHIRE CLEARING CORPORATION

CRD#: 18724

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