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Ralph Mcnamara

CRD# 330000·Registered 1973 - 1989
Previously Registered: Being a previously registered professional could mean that Ralph 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.

Professional Summary

Ralph Mcnamara, who also goes by Deluise Mcnamara, was a registered financial advisor. Ralph was a previously registered financial professional and started their career in finance 1973 - 1989. Ralph had worked at 11 firms and has passed the Series 63 and Series 00 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Deluise Mcnamara

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

53 years in the financial services industry

Current & Past Employments

DONALD & CO. SECURITIES INC.·CRD# 7776
BD
Tinton Falls, NJ
November 17, 1988 - July 15, 1989
MACPEG, ROSS, O'CONNELL & GOLDABER, INC.·CRD# 8297
BD
Levittown, NY
September 10, 1980 - June 14, 1988
BRODIS SECURITIES INCORPORATED·CRD# 1135
BD
January 21, 1980 - August 28, 1980
TRI-EAGLE SECURITIES INC.·CRD# 7237
BD
February 2, 1979 - January 2, 1980
PHILIPS, APPEL & WALDEN, INC.·CRD# 659
BD
June 8, 1978 - January 8, 1979
MORGAN STANLEY DW INC.·CRD# 7556
BD
February 24, 1978 - August 10, 1978
DEAN WITTER & CO. INCORPORATED·CRD# 6466
BD
July 7, 1977 - February 24, 1978
BUTCHER & SINGER INC.·CRD# 6517
BD
February 16, 1977 - July 23, 1977
SHEARSON HAYDEN STONE INC.·CRD# 7295
BD
November 17, 1976 - October 14, 1977
SHEARSON HAYDEN STONE INC.·CRD# 6774
BD
November 8, 1974 - November 17, 1976
HAYDEN STONE INC.·CRD# 6567
BD
March 8, 1973 - November 8, 1974

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Current Firm

D&
DONALD & CO. SECURITIES INC.

DONALD & CO. SECURITIES INC.

CRD#: 7776 / SEC#: 8-20952
BD
Terminated by SEC on 11/09/2002

Contact Information

Established

New Jersey since 05/19/1976

Firm Type

Corporation

Fiscal Year End

September

Documents

Direct owners and executive officers

NamePositionCRD#
THCG INC.PARENT/HOLDING CO.—
BLUM, STEPHEN ALLANPRESIDENT/CEO600373
MATTIA, LESLIE ANTHONYCHIEF COMPLIANCE OFFICER1469405
PONTECORVO, ANTHONYSEC/TREAS810358
SCIPIONE, CARL EUGENEC.F.O3000672

Disclosures

Regulatory Event

21

Civil Event

2

Arbitration

12

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1982About the Series 63 exam

Series 00 — General Securities Principal Examination

Passed Mar 1973

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CRS (Client Relationship Summary)

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

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