Ralph R. Gold
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 Robert Gold, who also goes by Ralph Gold, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1988. Ralph had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2006 - March 7, 2013
SANTA BARBARA ASSET MANAGEMENT, LLC
April 29, 2003 - September 16, 2005
PARTNERVEST ADVISORY SERVICES LLC
April 29, 2003 - September 16, 2005
PARTNERVEST SECURITIES, INC.
November 15, 2000 - April 4, 2003
PLANMEMBER SECURITIES CORPORATION
December 17, 1998 - November 17, 2000
WAVELAND CAPITAL PARTNERS LLC
October 4, 1994 - September 21, 1998
ASSOCIATED SECURITIES CORP.
January 9, 1992 - September 7, 1994
KENNEDY, CABOT & CO.
July 16, 1990 - May 7, 1991
KENNEDY, CABOT & CO.
December 20, 1988 - March 7, 1990
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
SANTA BARBARA ASSET MANAGEMENT, LLC
CRD#: 138123 / SEC#: 801-65003
Contact information
Red Flags
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