Ralph W. Antti
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 Walter Antti was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1976. Ralph had worked at 6 firms and has passed the Series 65, Series 63, Series 15, Series 5, PC, Series 7 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
November 24, 1999 - April 10, 2003
EMMETT A LARKIN COMPANY, INC.
April 15, 1997 - December 7, 1999
WELLS FARGO CLEARING SERVICES, LLC
April 25, 1994 - April 25, 1997
UBS FINANCIAL SERVICES INC.
September 16, 1977 - April 12, 1994
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
January 17, 1976 - August 27, 1976
BACHE & CO INCORPORATED
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 15
Date: 5/17/1984
Foreign Currency Options ExaminationSeries 5
Date: 2/8/1982
Interest Rate Options ExaminationPC
Date: 6/13/1977
AMEX Put and Call ExamCurrent Firm
EMMETT A LARKIN COMPANY, INC.
CRD#: 6625 / SEC#: , 8-11922
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
Red Flags
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