Ralph Giraud

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CRD#: 1020391

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 Giraud, who also goes by Ralph Giraud Jr, Ralph Giraud, was a registered financial professional .

Ralph is a previously registered financial professional and started their career in finance in 1982. Ralph had worked at 11 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ralph Giraud Jr | Ralph Giraud

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 6, 2012 - January 2, 2013

PHILADELPHIA INVESTORS, LTD.

CRD#: 23905

PHILADELPHIA, PA

Past

December 18, 2009 - February 17, 2010

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

PHILADELPHIA, PA

Past

September 21, 2007 - December 20, 2007

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

BRIDGETON, NJ

Past

May 18, 2007 - December 20, 2007

BANCNORTH INVESTMENT GROUP, INC.

CRD#: 31299

MILLVILLE, NJ

Past

February 1, 2006 - May 22, 2007

CUMBERLAND ADVISORS

RIA

CRD#: 107964

VINELAND, NJ

Past

April 5, 2005 - November 8, 2005

STARBOARD CAPITAL MARKETS, LLC

CRD#: 36907

PHILADELPHIA, PA

Past

May 11, 1994 - July 5, 2000

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

April 3, 1988 - October 13, 1993

HANIFEN, IMHOFF INC.

CRD#: 2126

DENVER, CO

Past

July 16, 1986 - January 22, 1988

HANIFEN, IMHOFF INC.

CRD#: 2126

DENVER, CO

Past

January 29, 1985 - July 29, 1986

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

May 22, 1984 - October 26, 1984

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

Past

May 18, 1982 - September 27, 1983

BNY MELLON SECURITIES CORPORATION

CRD#: 231

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 10/29/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/30/2006

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/17/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PHILADELPHIA INVESTORS, LTD.

CRD#: 23905 / SEC#: , 8-40805

Terminated by SEC on 02/12/2019

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Contact information

Main Address

Mailing Address

Phone number

Established

Pennsylvania since 12/09/1988

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
WURTS, CLARENCE ZANTZINGER	PRESIDENT	473538
FINKELSTEIN, EVAN MARC	REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL	1676350
FINKELSTEIN, EVAN MARC	CHIEF COMPLIANCE OFFICER	1676350

Disclosures

Regulatory Event	3
Arbitration	1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Firm Stability Insights

Ralph Giraud

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESTERS FINANCIAL SERVICES, INC.

CETERA INVESTMENT SERVICES LLC

BANCNORTH INVESTMENT GROUP, INC.

CUMBERLAND ADVISORS

STARBOARD CAPITAL MARKETS, LLC

PERSHING LLC

HANIFEN, IMHOFF INC.

HANIFEN, IMHOFF INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

LEGG MASON WOOD WALKER, INCORPORATED

BNY MELLON SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 10/29/2007

Series 65

Date: 1/30/2006

Series 7

Date: 5/19/1984

Series 6

Date: 5/17/1982

Current Firm

PHILADELPHIA INVESTORS, LTD.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PHILADELPHIA INVESTORS, LTD.

TRUST BUT VERIFY

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