Ralph A. Porpora

OSAIC WEALTH

NEW WINDSOR, NY 12553

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CRD#: 1077716

Professional summary

Ralph Anthony Porpora is a registered financial professional currently at OSAIC WEALTH, INC. located in New Windsor, New York.

Ralph is registered as a RR (Registered Representative) and started their career in finance in 1985. Ralph has worked at 6 firms and has passed the Series 63, SIE, Series 6, Series 22 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Ralph Anthony Porpora's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

May 15, 2025 - Present

OSAIC WEALTH, INC.

Office #1: 33 Airport Center Drive Suite 105, New Windsor, NY 12553

RIA

CRD#: 23131

NEW WINDSOR, NY

Past

November 22, 2021 - May 29, 2025

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

NEW WINDSOR, NY

Past

November 22, 2013 - July 22, 2022

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NEW WINDSOR, NY

Past

March 12, 1987 - November 22, 2013

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

POUGHKEEPSIE, NY

Past

August 11, 1986 - December 8, 1987

INTERNATIONAL MONEY MANAGEMENT GROUP, INC.

CRD#: 14367

Past

January 29, 1985 - August 26, 1986

RADFORD CAPITAL CORPORATION

CRD#: 10480

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(5/15/2025)

California
(5/15/2025)

Colorado
(5/15/2025)

Connecticut
(5/15/2025)

Delaware
(5/22/2025)

Florida
(5/16/2025)

Georgia
(5/15/2025)

Maine
(5/16/2025)

Michigan
(5/15/2025)

Montana
(5/16/2025)

Nevada
(5/15/2025)

New Hampshire
(5/15/2025)

New Jersey
(5/19/2025)

New York
(5/15/2025)

North Carolina
(5/30/2025)

Oregon
(5/15/2025)

Pennsylvania
(5/15/2025)

Rhode Island
(5/30/2025)

South Carolina
(6/30/2025)

Texas
(5/15/2025)

Vermont
(5/15/2025)

Virginia
(5/15/2025)

Washington
(6/2/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/21/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/8/1987

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 1/28/1985

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/17/1987

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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.

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Ralph A. Porpora

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ralph Anthony Porpora's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY WEALTH MANAGEMENT

NATIONAL SECURITIES CORPORATION

PRIME CAPITAL SERVICES, INC.

INTERNATIONAL MONEY MANAGEMENT GROUP, INC.

RADFORD CAPITAL CORPORATION

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/21/1985

SIE

Date: 10/1/2018

Series 6

Date: 5/8/1987

Series 22

Date: 1/28/1985

Series 26

Date: 6/17/1987

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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