Ralph W. Allen
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 Winston Allen JR, who also goes by Ralph Winston Allen, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1988. Ralph had worked at 17 firms and has passed the Series 66, Series 63, Series 7TO, Series 79TO, Series 6TO, SIE, Series 7, Series 6 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 30, 2015 - November 23, 2020
FFEC WEALTH PARTNERS LLC
November 27, 2015 - November 23, 2020
FFEC WEALTH PARTNERS LLC
February 26, 2013 - December 31, 2013
MONTICELLO INVESTMENT SERVICES, INC.
November 9, 2012 - December 4, 2015
MIDAMERICA FINANCIAL SERVICES, INC.
August 16, 2012 - February 14, 2013
REGAL INVESTMENT ADVISORS LLC
June 14, 2011 - May 23, 2012
IPI WEALTH MANAGEMENT, INC.
May 26, 2011 - May 23, 2012
INVESTMENT PLANNERS, INC.
January 4, 2010 - May 31, 2011
NAMCOA
November 23, 2009 - May 25, 2011
MSC - BD, LLC
September 19, 2005 - July 31, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 19, 2005 - July 31, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 29, 2004 - March 1, 2005
AMUNDI ASSET MANAGEMENT US, INC.
April 30, 2003 - March 1, 2005
AMUNDI DISTRIBUTOR US, INC.
January 22, 2002 - April 28, 2003
EQUITABLE DISTRIBUTORS, LLC
April 28, 2000 - January 18, 2002
FUNDS DISTRIBUTOR, LLC
August 24, 1999 - April 27, 2000
LPM INVESTMENT SERVICES, INC
March 12, 1997 - April 16, 1999
EQUITABLE DISTRIBUTORS, LLC
February 14, 1996 - December 2, 1996
NATIONAL PLANNING CORPORATION
May 11, 1990 - December 9, 1993
CAPITAL BROKERAGE CORPORATION
January 12, 1988 - March 26, 1990
SUN LIFE FINANCIAL DISTRIBUTORS, 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 7TO
Date: 3/13/2022
General Securities Representative ExaminationSeries 79TO
Date: 3/13/2022
Investment Banking Registered Representative ExaminationSeries 6TO
Date: 3/13/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
FFEC WEALTH PARTNERS LLC
CRD#: 16507 / SEC#: 801-63970, 8-34082
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,755 |
| AUM (Assets Under Management) | $ 2,371,850,816 |
Disclosures
| Regulatory Event | 8 |
| 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.
