Ralph R. Neighbors
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 Ronald Neighbors was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1968. Ralph had worked at 6 firms and has passed the Series 63, SIE, Series 5, Series 1, F04, Series 40 and Series 54FN exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2012 - August 29, 2016
M&A SECURITIES GROUP, INC.
December 7, 2005 - June 18, 2010
BURCH & COMPANY, INC
April 5, 2000 - December 19, 2003
BURCH & COMPANY, INC
April 24, 1997 - October 30, 1998
BIRCHTREE FINANCIAL SERVICES LLC
December 8, 1988 - June 21, 1995
BIRCHTREE FINANCIAL SERVICES LLC
April 22, 1985 - January 13, 1987
INVESTMENT SECURITIES OF OKLAHOMA, INC.
March 31, 1978 - August 29, 1983
WOOLSEY & COMPANY, INCORPORATED
October 21, 1968 - August 29, 1971
B.C. CHRISTOPHER SECURITIES CO.
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
Series 5
Date: 3/10/1982
Interest Rate Options ExaminationSeries 1
Date: 10/15/1968
Registered Representative ExaminationF04
Date: 12/11/1980
Financial Principal ExaminationSeries 40
Date: 8/21/1978
Registered Principal ExaminationSeries 54FN
Date: 4/17/1978
Municipal Securities Financial and Operations Principal ExaminationCurrent Firm
M&A SECURITIES GROUP, INC.
CRD#: 39999 / SEC#: , 8-48926
Contact information
FINRA licenses (48 States and Territories)
Documents
Red Flags
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