Ralph F. Doering
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 Francis Doering JR, who also goes by Ralph Francis Doering, Rocky Doering, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1985. Ralph had worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2002 - April 4, 2017
FEG
October 15, 1985 - May 11, 1987
PFS INVESTMENTS INC.
May 1, 1985 - July 17, 1985
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
FEG
CRD#: 121658 / SEC#: 801-61324
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
Current Firm
FEG
CRD#: 121658 / SEC#: 801-61324
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 188 |
| AUM (Assets Under Management) | $ 20,565,989,191 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 12/20/2023 | ||
| 10/27/2022 |
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.
