Roy W. 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.
Roy William Ratliff was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 2006. Roy had worked at 6 firms and has passed the Series 63, Series 7, Series 22, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2012 - April 2, 2012
STERLING ENTERPRISES GROUP, INC.
June 22, 2010 - October 27, 2010
STERLING ENTERPRISES GROUP, INC.
February 15, 2008 - June 25, 2010
RICHFIELD ORION INTERNATIONAL, INC.
May 1, 2007 - December 19, 2007
INTERVEST INTERNATIONAL EQUITIES CORPORATION
January 16, 2007 - May 17, 2007
NEWPORT COAST SECURITIES, INC.
March 20, 2006 - January 4, 2007
FREEDOM INVESTORS CORP.
February 8, 2006 - March 10, 2006
MISSION SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STERLING ENTERPRISES GROUP, INC.
CRD#: 44915 / SEC#: , 8-50876
Contact information
Documents
Disclosures
| Arbitration | 2 |
Red Flags
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