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RANDYL RATCLIFF
RANDYL JAMES RATCLIFF
CRD#: 2000373
IA
B
WELLS FARGO ADVISORSCRD#: 11025 326 SETTLERS TRAIL STE 200
[SATELLITE]
LAFAYETTE, LA 70508
[SATELLITE]
LAFAYETTE, LA 70508
0
Disclosures
34
Years of Experience
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State Registrations
B
District of Columbia 6/30/2022
B
Oklahoma 6/30/2022
B
Florida 6/30/2022
B
Texas 6/30/2022
B
Louisiana 6/30/2022
B
Virginia 6/30/2022
IA
Louisiana 6/30/2022
B
Washington 7/17/2024
B
Missouri 6/30/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 6/30/2022
B
Registered with this firm since 6/30/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/20/2009 - 06/30/2022 | LAKE CHARLES, LA | |
B | 02/20/2009 - 06/30/2022 | LAKE CHARLES, LA | |
IA | 03/20/1998 - 02/23/2009 | LAFAYETTE, LA | |
B | 01/07/1998 - 02/23/2009 | LAFAYETTE, LA | |
B | 09/02/1997 - 12/11/1997 | ||
B | 10/30/1989 - 08/09/1996 | GREENWOOD VILLAGE, CO |
LAFAYETTE, LA
03/20/1998 - 02/23/2009
LAFAYETTE, LA
01/07/1998 - 02/23/2009
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.