Fred G. Ramberg
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.
Fred G. Ramberg was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 2000. Fred had worked at 6 firms and has passed the Series 63, Series 87, Series 86, Series 7 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
September 7, 2011 - November 2, 2012
SECURITY RESEARCH ASSOCIATES, INC.
January 11, 2010 - October 28, 2010
DALMORE GROUP LLC
January 19, 2009 - December 18, 2009
WINDFALL SECURITIES LLC
December 17, 2003 - January 31, 2007
M. S. HOWELLS & CO.
April 29, 2003 - October 31, 2003
COWEN SECURITIES LLC
November 1, 2000 - September 30, 2002
DETWILER FENTON & 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
Current Firm
SECURITY RESEARCH ASSOCIATES, INC.
CRD#: 8200 / SEC#: , 8-24626
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWIFT, BRIAN GARNER | CHAIRMAN | 441317 |
| COLLINS, TIMOTHY | PRESIDENT, CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR - CAPITAL MARKETS | 51366 |
| DE-JOUNGE, ANDERS ARENDT | OWNER | 2318841 |
| MAGOWAN, JAMES BASIL | OWNER | 5781647 |
| HAMILTON, GARY LEE | OWNER & SECRETARY | 4851778 |
| KLAGES, WILLIAM ALBERT | OWNER | 4748921 |
| LEWIS, CRAIG STOUT | OWNER | 5501107 |
Disclosures
| Regulatory Event | 7 |
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.
