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RP

Ralph S. Pittman

Some features on this profile are disabled
CRD#: 364211
RP

Professional summary

Ralph Stanley Pittman SR 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 1970. Prior to being barred, Ralph had worked at 10 firms, which includes SPENCER EDWARDS INC., INTERFIRST CAPITAL CORPORATION, TAMARON INVESTMENTS INC., BRENNAN ROSS SECURITIES INC., AMERICAN WESTERN SECURITIES INC., PITTMAN & COMPANY INCORPORATED, BIRKENMAYER PITTMAN & COMPANY INC, BARTON AND COMPANY INCORPORATED, BOSWORTH SULLIVAN & COMPANY INCORPORATED.

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

June 5, 1995 - February 16, 1999

SPENCER EDWARDS, INC.

BD
CRD#: 22067
CENTENNIAL, CO
Past

October 7, 1994 - June 14, 1995

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659
LOS ANGELES, CA
Past

December 11, 1990 - October 7, 1994

TAMARON INVESTMENTS, INC.

BD
CRD#: 14929
ENGLEWOOD, CO
Past

September 18, 1987 - November 20, 1990

BRENNAN ROSS SECURITIES, INC.

BD
CRD#: 18363
Past

May 28, 1978 - April 26, 1979

AMERICAN WESTERN SECURITIES, INC.

BD
CRD#: 7619
Past

January 9, 1978 - May 28, 1978

AMERICAN WESTERN SECURITIES, INC.

BD
CRD#: 6304
Past

February 7, 1975 - May 28, 1978

PITTMAN & COMPANY, INCORPORATED

BD
CRD#: 5225
Past

December 24, 1974 - March 3, 1975

BIRKENMAYER PITTMAN & COMPANY INC

BD
CRD#: 1000004
Past

January 3, 1973 - December 30, 1974

BARTON AND COMPANY INCORPORATED

BD
CRD#: 6187
Past

March 2, 1970 - February 2, 1973

BOSWORTH SULLIVAN & COMPANY INCORPORATED

BD
CRD#: 103

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

State Security Law Exam
RR
Series 63
Date: 10/14/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 2/18/1970
Registered Representative Examination
Principal/Supervisory Exam
RR
F04
Date: 2/28/1975
Financial Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 6/8/1973
General Securities Principal Examination

Current Firm

SE
SPENCER EDWARDS, INC.
EMERALD SECURITIES, INC. | WORLD SECURITIES CORPORATION | SPENCER EDWARDS, INC.

CRD#: 22067 / SEC#: , 8-39511

BD
Terminated by SEC on 03/01/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 10/22/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PRIMARC HOLDING CORP.PARENT COMPANY
FLEMMING, DONNA JEANCHIEF FINANCIAL OFFICER/FINOP1791388
FLEMMING, DONNA JEANPRESIDENT, CHIEF EXECUTIVE OFFICER1791388
KASZYCKI, JOHN EDWARDCHIEF COMPLIANCE OFFICER264844
RICHARDSON, THOMAS CRAIGMANAGER OF TRADING867402

Disclosures

Regulatory Event18
Arbitration2

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

SPENCER EDWARDS, INC.

CRD#: 22067

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