Ralph J. Aballo
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 Joseph Aballo, who also goes by Ralph J Aballo, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1977. Ralph had worked at 6 firms and has passed the Series 65, Series 63, SIE, 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
January 17, 2014 - January 10, 2017
BB&T SECURITIES, LLC
January 17, 2014 - January 10, 2017
BB&T SECURITIES, LLC
March 13, 2009 - February 6, 2014
RBC CAPITAL MARKETS, LLC
March 13, 2009 - February 6, 2014
RBC CAPITAL MARKETS, LLC
March 14, 2003 - March 13, 2009
FERRIS, BAKER WATTS, LLC
October 19, 1989 - March 13, 2009
FERRIS, BAKER WATTS, LLC
September 22, 1989 - October 16, 1989
FERRIS, BAKER WATTS, LLC
May 27, 1980 - September 26, 1989
A. G. EDWARDS & SONS, INC.
January 31, 1980 - June 19, 1980
UBS FINANCIAL SERVICES INC.
January 26, 1977 - January 31, 1980
BLYTH EASTMAN DILLON & 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: 7/22/1980
AMEX Put and Call ExamSeries 8
Date: 12/10/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BB&T SECURITIES, LLC
CRD#: 142785 / SEC#: 801-77145, 8-67486
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | SOLE MEMBER | |
| CRAM, BRYAN SCOTT | CHIEF EXECUTIVE OFFICER/BOARD OF MANAGERS | 2723431 |
| HECHTLINGER, SUSAN | CHIEF COMPLIANCE OFFICER/ BOARD OF MANAGERS | 2890466 |
| MCCALLUM, CHARLES FALCONER III | HEAD OF SUPERVISION/BOARD OF MANAGERS | 2697260 |
| RIP, OLGA | PRINCIPAL FINANCIAL OFFICER | 5440553 |
| SPEETJENS, FELICIA ANN | HEAD OF PRODUCT/BOARD OF MANAGERS | 3197366 |
| TYSON, TONYA BELFIELD | PRINCIPAL OPERATIONS OFFICER | 1987448 |
Disclosures
| Regulatory Event | 49 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
