Charles C. Ramsey
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.
Charles Curtis Ramsey, who also goes by Charles C Ramsey, Chuck Ramsey, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1977. Charles had worked at 6 firms and has passed the Series 63, Series 41, Series 52, Series 1, Series 24 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 14, 1995 - May 21, 2003
FIRST SOUTHWEST COMPANY, LLC
February 26, 1993 - May 5, 1995
ALEX. BROWN & SONS INCORPORATED
August 13, 1991 - February 19, 1993
MMAR GROUP, INC.
January 1, 1984 - August 22, 1991
J.P. MORGAN SECURITIES LLC
September 18, 1978 - December 15, 1983
MARCUS, STOWELL & BEYE, INC.
January 25, 1978 - October 17, 1979
UMIC, INC.
March 10, 1977 - January 19, 1978
MARCUS, STOWELL & BEYE, INC.
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 41
Date: 10/19/1985
NYSE Allied Member ExaminationSeries 1
Date: 3/7/1977
Registered Representative ExaminationSeries 8
Date: 4/11/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST SOUTHWEST COMPANY, LLC
CRD#: 316 / SEC#: , 8-1523
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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