Ralph J. Pierro
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 Joseph Pierro, who also goes by Skip Pierro, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1982. Ralph had worked at 12 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 12, Series 53, Series 24, Series 26 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2003 - April 11, 2012
COMERICA SECURITIES
May 16, 2001 - April 11, 2012
COMERICA SECURITIES
December 15, 2000 - June 21, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - June 21, 2001
WELLS FARGO INVESTMENTS, LLC
January 4, 1999 - May 2, 2001
WELLS FARGO SECURITIES INC.
January 7, 1998 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 1, 1996 - December 31, 1997
ALLSTATE FINANCIAL SERVICES, LLC
April 12, 1995 - August 6, 1996
U.S. BANCORP SECURITIES
September 7, 1993 - November 28, 1994
U.S. BANCORP SECURITIES
April 15, 1992 - August 20, 1993
CAPITAL BROKERAGE CORPORATION
January 29, 1991 - April 9, 1992
ESSEX NATIONAL SECURITIES, LLC
August 23, 1988 - September 10, 1990
WEDBUSH SECURITIES INC.
August 19, 1986 - August 18, 1988
LEHMAN BROTHERS INC.
June 24, 1983 - August 21, 1986
WEDBUSH SECURITIES INC.
May 11, 1982 - June 13, 1983
CHESLEY AND DUNN, INC.
April 30, 1982 - October 21, 1983
AMERICAN WESTERN SECURITIES, 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 12
Date: 6/9/2000
NYSE Branch Manager ExaminationCurrent Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
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.
