Ralph S. Devito
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 Sebastian Devito was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1969. Ralph had worked at 6 firms and has passed the Series 63, SIE, Series 1, Series 4 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
July 1, 1986 - June 17, 2019
THE INVESTMENT CENTER, INC.
January 25, 1985 - July 15, 1986
INVESTACORP, INC.
March 10, 1984 - February 11, 1985
INDIVIDUAL'S SECURITIES LTD.
October 20, 1982 - February 21, 1984
T.R. WINSTON & COMPANY, LLC
March 11, 1970 - July 30, 1971
INDEPENDENT FINANCIAL PLANNERS CORPORATION
March 26, 1969 - December 22, 1980
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
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: 3/21/1969
Registered Representative ExaminationCurrent Firm
THE INVESTMENT CENTER, INC.
CRD#: 17839 / SEC#: , 8-35826
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
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.
