Ralph C. Zagrabbe
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 Conrad Zagrabbe was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1976. Ralph had worked at 8 firms and has passed the Series 63, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2005 - October 13, 2006
CANTOR FITZGERALD SECURITIES
May 18, 2004 - October 10, 2013
CANTOR FITZGERALD & CO.
June 5, 2002 - April 26, 2004
ADVEST, INC.
March 9, 2002 - June 17, 2002
RBC CAPITAL MARKETS, LLC
January 4, 2000 - March 9, 2002
TUCKER ANTHONY INCORPORATED
September 3, 1996 - January 25, 2000
LEGG MASON WOOD WALKER, INCORPORATED
May 9, 1990 - September 10, 1996
TUCKER ANTHONY INCORPORATED
May 19, 1978 - May 16, 1990
KIDDER, PEABODY & CO. INCORPORATED
November 1, 1976 - May 19, 1978
KIDDER, PEABODY & 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
PC
Date: 8/15/1977
AMEX Put and Call ExamSeries 8
Date: 7/30/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CANTOR FITZGERALD SECURITIES
CRD#: 19660 / SEC#: , 8-37708
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFLP CFS I HOLDINGS, L.P. | MANAGING PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER | 1161513 |
| CFGM CFS HOLDINGS, LLC | PARTNER | |
| GOLDMAN, IRVIN JAN | CEO AND PRESIDENT DEBT CAPITAL MARKETS AND ASSET MANGEMENT | 1265520 |
| LIPSON, RICHARD ROBERT | CHIEF FINANCIAL OFFICER | 2378464 |
| MERKEL, STEPHEN M | CHIEF LEGAL OFFICE | 2366318 |
| WELS, ANDREW CRAIG | CHIEF COMPLIANCE OFFICE | 1970864 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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