Russell T. Ratliff
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.
Russell Timothy Ratliff, who also goes by Russell T Ratliff, was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 2000. Russell had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2015 - December 31, 2017
DOMINION INVESTOR SERVICES, INC.
July 31, 2014 - August 28, 2015
AVANTAX ADVISORY SERVICES
July 31, 2014 - August 28, 2015
AVANTAX INVESTMENT SERVICES, INC.
January 4, 2013 - August 6, 2014
UNION CAPITAL COMPANY
November 21, 2005 - December 31, 2012
OSAIC WEALTH, INC.
July 13, 2004 - December 31, 2012
OSAIC WEALTH, INC.
October 14, 2003 - April 1, 2004
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 26, 2000 - October 15, 2001
WOODBURY FINANCIAL 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
DOMINION INVESTOR SERVICES, INC.
CRD#: 21548 / SEC#: , 8-39029
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINION FINANCIAL SERVICES, INC. | PARENT/SHAREHOLDER | |
| CRISLER, SHIRLEY MAE | IP, SR VICE PRESIDENT, DIRECTOR, CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 2118069 |
| SHROPSHIRE, CAMERON EDWARD III | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | 2233524 |
| SMITH, RIX CARLTON | PRESIDENT, CEO, DIRECTOR, GP, MP,OP | 1061442 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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