Ralph J. Davila
Professional summary
Ralph Joelly Davila was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ralph is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Ralph had worked at 6 firms, which includes CITICORP INVESTMENT SERVICES, ALLEN DOUGLAS SECURITIES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, MONTROSE CAPITAL MANAGEMENT LTD., FIRST UNION BROKERAGE SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2002 - August 1, 2003
CITICORP INVESTMENT SERVICES
March 27, 2001 - March 15, 2002
ALLEN DOUGLAS SECURITIES, INC.
August 25, 2000 - March 20, 2001
IDS LIFE INSURANCE COMPANY
August 25, 2000 - March 20, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
February 28, 2000 - May 15, 2000
MONTROSE CAPITAL MANAGEMENT LTD.
July 13, 1999 - March 25, 2000
FIRST UNION 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
CITICORP INVESTMENT SERVICES
CRD#: 23988 / SEC#: , 8-40802
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIBANK WEST HOLDINGS INC | SOLE SHAREHOLDER | |
| ANGIONE, DOMINICK JOHN JR | SROP | 1260456 |
| BAUMGARTNER, JOHN | GENERAL COUNSEL | |
| HENRYNICOLL, CAROL ANNETTE | CROP | 2228729 |
| HINMAN, DAVID J | PRESIDENT AND CHAIRMAN | 2712080 |
| KILKENNY, ROBERTA MERCEDES | TREASURER | 2425698 |
| MALLETT, JOHN CARLTON | CHIEF FINANCIAL OFFICER | 1569049 |
| TUBMAN, JOHN THOMAS | INVESTMENT ADVISOR COMPLIANCE OFFICER | 1412675 |
| TUBMAN, JOHN THOMAS | CHIEF COMPLIANCE OFFICER | 1412675 |
| WOLFSON, BARBARA | DIRECTOR OF CIS BOARD - DIRECTOR OF OPERATIONS | 833847 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 19 |
Red Flags
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