Ralph F. Lafferty
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 Fredrick Lafferty, who also goes by Ralph Fredrick Lafferty, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 2000. Ralph had worked at 4 firms and has passed the Series 63, Series 3, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2007 - October 11, 2013
EZE CASTLE TRANSACTION SERVICES LLC
April 20, 2006 - June 27, 2007
TAFFERER TRADING, LLC
January 4, 2005 - January 10, 2006
FIS BROKERAGE & SECURITIES SERVICES LLC
February 19, 2004 - January 5, 2005
TAFFERER TRADING, LLC
October 16, 2001 - October 6, 2003
WORLDCO, L.L.C.
April 13, 2000 - October 17, 2001
TAFFERER TRADING, LLC
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 55
Date: 5/23/2000
Limited Representative-Equity Trader ExamCurrent Firm
EZE CASTLE TRANSACTION SERVICES LLC
CRD#: 132246 / SEC#: , 8-66577
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
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.
