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Ralph Michael Sabbagh

CRD# 1131034·Registered 1983 - 2004
Previously Registered: Being a previously registered professional could mean that Ralph 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.

Professional Summary

Ralph Michael Sabbagh was a registered financial advisor. Ralph was a previously registered financial professional and started their career in finance 1983 - 2004. Ralph had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

43 years in the financial services industry

Current & Past Employments

INTEGRATED FINANCIAL & INSURANCE SERVICES·CRD# 123947
RIA
San Jose, CA
February 19, 2003 - December 13, 2004
PARK AVENUE SECURITIES LLC·CRD# 46173
BD
Sacramento, CA
October 8, 2001 - July 13, 2016
PARK AVENUE SECURITIES LLC·CRD# 46173
RIA
Roseville, CA
February 15, 2001 - July 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC·CRD# 16164
BD
Philadelphia, PA
August 1, 2000 - July 17, 2001
MML INVESTORS SERVICES, LLC·CRD# 10409
BD
Springfield, MA
March 22, 1990 - August 7, 2000
PRINCIPAL SECURITIES, INC.·CRD# 1137
BD
Des Moines, IA
June 24, 1983 - February 22, 1990

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1990About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jul 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 1988About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jun 1983About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Aug 1992About the Series 24 exam

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CRS (Client Relationship Summary)

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

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