Ralph K. Waters

FHN FINANCIAL SECURITIES

Memphis, TN 38120

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CRD#: 871698

Professional summary

Ralph Kelly Waters is a registered financial professional currently at FHN FINANCIAL SECURITIES CORP. located in Memphis, Tennessee.

Ralph is registered as a RR (Registered Representative) and started their career in finance in 1979. Ralph has worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Ralph Kelly Waters's CRS (Customer Relationship Summary).

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

Current

April 17, 2001 - Present

FHN FINANCIAL SECURITIES CORP.

Office #1: 1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120

CRD#: 46346

Memphis, TN

Past

March 5, 1991 - July 18, 1996

ICBA SECURITIES

CRD#: 24088

MEMPHIS, TN

Past

January 1, 1991 - July 17, 1996

VINING-SPARKS IBG, LLC

CRD#: 27502

MEMPHIS, TN

Past

September 10, 1990 - January 1, 1991

VINING-SPARKS SECURITIES, INC.

CRD#: 10073

Past

March 3, 1986 - October 1, 1990

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

CRD#: 16493

Past

March 1, 1984 - March 22, 1985

PLANSMITH SECURITIES,INC.

CRD#: 14467

Past

November 28, 1979 - February 23, 1984

T. J. RANEY & SONS, INC.

CRD#: 3128

Past

September 24, 1979 - December 5, 1979

SWINK & COMPANY, INC.

CRD#: 7111

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arkansas
(8/3/2001)

California
(8/3/2001)

Florida
(8/6/2001)

Illinois
(8/3/2001)

Iowa
(8/3/2001)

Michigan
(7/21/2014)

Minnesota
(1/30/2009)

Nebraska
(8/3/2001)

Nevada
(9/29/2016)

North Dakota
(8/3/2001)

Oklahoma
(3/6/2025)

South Dakota
(8/3/2001)

Tennessee
(5/31/2001)

Exams

State Security Law Exam

Series 63

Date: 5/30/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/23/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/17/1982

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 9/15/1979

Municipal Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FHN FINANCIAL SECURITIES CORP.

FHN FINANCIAL SECURITIES CORP. | MIDWEST RESEARCH FIRST TENNESSEE SECURITIES CORP. | FTN FINANCIAL SECURITIES CORP | FIRST TENNESSEE SECURITIES CORPORATION | FIRST TENNESSEE SECURITIES CORP.

CRD#: 46346 / SEC#: , 8-51393

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120

Mailing Address

1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120

Phone number

(901) 435-8080

Established

Tennessee since 10/30/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FIRST HORIZON BANK	SHAREHOLDER
BUCK, WILLIAM JAMES II	PRINCIPAL OPERATING OFFICER	3129662
DABROWSKI, MARK GERARD	CHIEF COMPLIANCE OFFICER	2065647
GRIFFIN, MARK DANIEL	SVP, RISK CONTROL MANAGER	7462222
JACKSON, JEFF BRIAN	SVP/ TRADING MANAGER	2777631
RITCHESON, DONALD ALLEN	PRINCIPAL FINANCIAL OFFICER / CFO	2360009
ROMANOW, TIMOTHY MARK	PRESIDENT/CEO	2533445
WADDELL, MICHAEL KNOX	EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY	5657529

Disclosures

Regulatory Event	7
Arbitration	1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Ralph K. Waters

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ralph Kelly Waters's CRS (Customer Relationship Summary).

Certified licenses

Experience

ICBA SECURITIES

VINING-SPARKS IBG, LLC

VINING-SPARKS SECURITIES, INC.

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

PLANSMITH SECURITIES,INC.

T. J. RANEY & SONS, INC.

SWINK & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/30/2001

Series 52TO

Date: 9/23/2025

SIE

Date: 10/1/2018

Series 7

Date: 4/17/1982

Series 52

Date: 9/15/1979

FINRA

Current Firm

FHN FINANCIAL SECURITIES CORP.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FHN FINANCIAL SECURITIES CORP.

TRUST BUT VERIFY

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