Wesley D. 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.
Wesley Don Ramsey, who also goes by Wes Ramsey, was a registered financial professional .
Wesley is a previously registered financial professional and started their career in finance in 1998. Wesley had worked at 11 firms and has passed the Series 66, 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 25, 2020 - January 28, 2021
KESTRA INVESTMENT SERVICES, LLC
September 24, 2020 - January 28, 2021
KESTRA ADVISORY SERVICES, LLC
August 16, 2018 - October 9, 2018
USAA INVESTMENT SERVICES COMPANY
August 16, 2018 - October 9, 2018
USAA FINANCIAL ADVISORS, INC.
August 20, 2014 - May 2, 2017
STRATEGIC ADVISERS LLC
July 24, 2014 - May 2, 2017
FIDELITY BROKERAGE SERVICES LLC
June 12, 2014 - July 15, 2014
BOK FINANCIAL SECURITIES, INC.
May 15, 2012 - May 30, 2014
NORTHERN TRUST SECURITIES, INC.
September 21, 2010 - April 17, 2012
CETERA INVESTMENT SERVICES LLC
September 21, 2010 - April 17, 2012
CETERA INVESTMENT SERVICES LLC
November 20, 2008 - September 22, 2010
CUNA BROKERAGE SERVICES, INC.
March 15, 2001 - September 22, 2010
CUNA BROKERAGE SERVICES, INC.
December 14, 1998 - April 3, 2001
PRINCIPAL SECURITIES, 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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
