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Ralph R. Cioffi

Some features on this profile are disabled
CRD#: 707240
RC

Professional summary

Ralph Raffiel Cioffi JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ralph is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Ralph had worked at 4 firms, which includes INSTITUTIONAL DIRECT INC., J.P. MORGAN SECURITIES LLC, MORGAN STANLEY DW INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ralph R Cioffi Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 6, 1989 - November 13, 1995

INSTITUTIONAL DIRECT INC.

BD
CRD#: 23019
NEW YORK, NY
Past

August 8, 1985 - December 18, 2007

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

July 23, 1980 - July 16, 1985

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

April 24, 1980 - August 14, 1980

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/22/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/3/1991
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 9/7/1990
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ID
INSTITUTIONAL DIRECT INC.
AUTO BOND INC. | STATUS SECURITIES INC. | INSTITUTIONAL DIRECT INC. | AUTOBOND INC.

CRD#: 23019 / SEC#: , 8-40058

BD
Terminated by SEC on 06/30/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 04/22/1988
Firm type
Corporation
Fiscal year end
November
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BEAR, STEARNS & CO. INC.SHAREHOLDER79
DISTELL, GARY NEILGENERAL COUNSEL, DESIGNATED NASD EXEC. REP.1540489
KESSLER, CHARLESCCO3048174
LYONS, ROBERT PSENIOR MANAGING DIRECTOR, SECRETARY, DIRECTOR3155378
SCHROEDER, JAMES FRANCISMANAGING DIRECTOR/PRINCIPAL1961007
STEPPACHER, WALTER MAURICECFO1219845
VALENTE, JAMES ROBERT JRPRESIDENT, DIRECTOR, CEO, SMD703860

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.

Company Information

INSTITUTIONAL DIRECT INC.

CRD#: 23019

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