Ralph J. Moeller
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 James Moeller, who also goes by Jim Moeller, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1985. Ralph had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 3, Series 7, Series 24 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
December 11, 2012 - July 21, 2017
CAPITAL ANALYSTS
June 1, 2012 - July 21, 2017
LINCOLN INVESTMENT
June 1, 2012 - July 21, 2017
LINCOLN INVESTMENT
January 27, 2012 - June 1, 2012
CINCINNATI ANALYSTS, INC.
January 27, 2012 - June 1, 2012
CINCINNATI ANALYSTS, INC.
August 22, 2006 - January 30, 2012
SANDERS MORRIS LLC
March 24, 2003 - December 31, 2006
SMH CAPITAL ADVISORS LLC
May 23, 2002 - January 30, 2012
SANDERS MORRIS LLC
January 2, 2002 - May 23, 2002
OPPENHEIMER & CO. INC.
July 5, 2001 - January 2, 2002
JOSEPHTHAL & CO., INC.
June 30, 1999 - July 10, 2001
STEPHENS
May 11, 1998 - May 13, 1999
WELLS FARGO CLEARING SERVICES, LLC
December 3, 1996 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
March 2, 1992 - November 29, 1996
PRUDENTIAL EQUITY GROUP, LLC
September 6, 1990 - February 20, 1992
UBS FINANCIAL SERVICES INC.
September 27, 1988 - September 11, 1990
LEHMAN BROTHERS INC.
September 1, 1987 - February 20, 1992
UBS FINANCIAL SERVICES INC.
May 23, 1985 - September 9, 1987
SOUTHMARK FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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 15
Date: 12/14/1994
Foreign Currency Options ExaminationSeries 5
Date: 12/14/1994
Interest Rate Options ExaminationSeries 8
Date: 1/15/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
