Ralph W. Russell
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 William Russell was a registered financial advisor .
Ralph is a previously registered financial advisor and started their career in finance in 1984. Ralph had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2002 - December 31, 2003
STERLING PORTFOLIO ALLOCATION SERVICE INC
October 4, 2001 - September 23, 2004
WATERSTONE FINANCIAL GROUP, INC.
November 21, 2000 - September 23, 2004
WATERSTONE FINANCIAL GROUP, INC.
October 25, 1998 - November 20, 2000
RBC CAPITAL MARKETS, LLC
May 11, 1998 - October 5, 1998
WELLS FARGO CLEARING SERVICES, LLC
May 24, 1996 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
February 1, 1993 - May 22, 1996
UBS FINANCIAL SERVICES INC.
September 4, 1990 - January 28, 1993
WELLS FARGO CLEARING SERVICES, LLC
February 26, 1990 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
April 1, 1987 - March 20, 1990
PRUDENTIAL EQUITY GROUP, LLC
April 18, 1984 - April 9, 1987
MORGAN STANLEY DW 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 8
Date: 2/27/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
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.
