Ralph W. Herbert
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 Wayne Herbert was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1986. Ralph had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2011 - December 31, 2024
COUNCILMARK ASSET MANAGEMENT, LLC
September 11, 2006 - December 31, 2006
COUNCILMARK ASSET MANAGEMENT, LLC
April 1, 2004 - January 12, 2006
MARTIN & COMPANY INVESTMENT COUNSEL
May 18, 1988 - January 17, 1989
ABN AMRO SECURITIES LLC
July 20, 1987 - August 8, 1988
CULVER SECURITIES, INC.
June 11, 1986 - May 28, 1987
AMERISTAR CAPITAL MARKETS, INC.
Primary Firm SEC Registration
COUNCILMARK ASSET MANAGEMENT, LLC
CRD#: 111748 / SEC#: 801-57832
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
COUNCILMARK ASSET MANAGEMENT, LLC
CRD#: 111748 / SEC#: 801-57832
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 107 |
| AUM (Assets Under Management) | $ 249,170,833 |
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.
