Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ralph? Claim Your ProfileRalph Edward Poppell is a financial advisor currently registered with Marex Capital Markets Inc. in Alpharetta, Georgia. Ralph has been active in the financial services industry since 1987. Previously, Ralph has worked at Cowen and Company, Cowen Prime Services LLC, Sanders Morris Harris Inc., Stanford Group Company and Lehman Brothers Inc.. Ralph holds licenses in both Georgia and New York, as well as the Series 3, 4, 7, 8, 9, 10, 14, 52TO, 53, 55, 57TO, 63, 65, 79TO, 87, 99TO and SIE.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
GA
12/08/2023 - Present
Marex Capital Markets Inc. (Alpharetta GA)
NY
08/26/2021 - 12/13/2023
COWEN AND COMPANY (NEW YORK NY)
NY
11/01/2010 - 02/10/2022
COWEN PRIME SERVICES LLC (NEW YORK NY)
NY
08/04/2009 - 10/25/2011
SANDERS MORRIS HARRIS INC. (NEW YORK NY)
NY
11/11/1997 - 05/13/2009
STANFORD GROUP COMPANY (NEW YORK NY)
NY
07/21/1987 - 11/13/1997
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 06/11/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/24/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/04/1998
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/22/1998
Series 4 - Registered Options Principal Examination
BC
Issued 03/10/1998
Series 24 - General Securities Principal Examination
BC
Issued 04/04/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 06/09/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/09/1987
Series 3 - National Commodity Futures Examination
BC
Issued 07/18/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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