Ralph E. Metz
Professional summary
Ralph Edward Metz JR is a registered financial advisor currently at SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC located in New York, New York and SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Ralph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Ralph has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Ralph Edward Metz JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 5, 2022 - Present
SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006August 24, 2009 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006July 13, 2018 - December 31, 2021
SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC
July 30, 2008 - September 2, 2009
NATIONAL SECURITIES CORPORATION
March 8, 2006 - August 26, 2008
CASIMIR CAPITAL L.P.
August 28, 2003 - May 18, 2005
WADDELL & REED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/31/2011)
(8/24/2009)
(8/24/2009)
(8/24/2009)
(1/5/2022)
(10/25/2019)
(3/31/2011)
(8/24/2009)
(8/24/2009)
(6/14/2012)
(4/30/2013)
(5/6/2013)
(8/9/2012)
(7/8/2013)
(3/31/2011)
(3/31/2011)
(12/23/2015)
(3/31/2011)
(8/24/2009)
(8/24/2009)
(1/5/2022)
(8/24/2009)
(8/24/2009)
(9/24/2015)
(8/24/2009)
(10/21/2013)
(3/31/2011)
(8/24/2009)
(1/28/2022)
(8/3/2021)
(8/24/2009)
(8/24/2009)
(8/24/2009)
(5/28/2013)
Exams
FINRA
Nasdaq Stock Market
Current Firm
SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC
CRD#: 154632 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 6,741,000 |
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.
