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Ralph Kelly Waters

FHN Financial Securities Corp.

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About Ralph Kelly Waters

Ralph Kelly Waters is a financial advisor with over 30 years of experience in the securities industry. Ralph Waters is currently registered with FHN Financial Securities Corp. in Memphis, TN. Ralph Waters has held previous positions at several firms including IBAA Securities Corporation, Vining-Sparks IBG, Limited Partnership, Vining-Sparks Securities, Inc., Union Planters Investment Bankers Group, Inc., Plansmith Securities, Inc., T. J. Raney & Sons, Inc., and Swink & Company, Inc. Ralph Waters holds licenses for Series 7, Series 52, Series 63, and SIE exams.

Firm Information

Ralph Waters is currently registered with FHN Financial Securities Corp.. FHN Financial Securities Corp. is a Corporation registered in 53 states and the District of Columbia. It was formed on October 30, 1998, and has been approved by the SEC. The firm has been involved in 7 Regulatory Events and 1 Arbitration case.

Not reported

Assets Under Management

Not reported

Total Clients

259

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Ralph Waters’s Registration & Firm History

TN

04/17/2001 - Present

FHN Financial Securities Corp. (MEMPHIS TN)

TN

03/05/1991 - 07/18/1996

IBAA SECURITIES CORPORATION (MEMPHIS TN)

TN

01/01/1991 - 07/17/1996

VINING-SPARKS IBG, LIMITED PARTNERSHIP (MEMPHIS TN)

NA

09/10/1990 - 01/01/1991

VINING-SPARKS SECURITIES, INC.

NA

03/03/1986 - 10/01/1990

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

NA

03/01/1984 - 03/22/1985

PLANSMITH SECURITIES,INC.

NA

11/28/1979 - 02/23/1984

T. J. RANEY & SONS, INC.

NA

09/24/1979 - 12/05/1979

SWINK & COMPANY, INC.

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Licenses & Designations

BC

Issued 05/30/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/17/1982

Series 7 - General Securities Representative Examination

BC

Issued 09/15/1979

Series 52 - Municipal Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Ralph Kelly Waters.
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