Ralph Antolino
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 Antolino SR, who also goes by Ralph Antolino, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1968. Ralph had worked at 11 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2006 - May 2, 2014
KESTRA INVESTMENT SERVICES, LLC
March 24, 2006 - April 21, 2010
AA FINANCIAL ADVISORS, LLC
October 18, 1999 - December 31, 2005
AA FINANCIAL ADVISORS, LLC
November 22, 1994 - May 11, 2006
WALNUT STREET SECURITIES, INC.
November 19, 1989 - November 23, 1994
OSAIC WEALTH, INC.
November 14, 1986 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 10, 1984 - November 25, 1986
CORNA AND CO., INC.
December 14, 1978 - December 10, 1981
OSAIC FS, INC.
October 20, 1972 - December 25, 1978
TOWER SQUARE SECURITIES, INC.
November 29, 1971 - January 1, 1979
TIME EQUITIES, INC.
January 13, 1971 - October 18, 1971
D G DILL & CO
June 6, 1968 - February 18, 1971
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
Exams
Series 1
Date: 5/28/1968
Registered Representative ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
