Ralph J. Divino
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 Joseph Divino, who also goes by Ralph J Divino, Ralph J. Divino, Ralph Divino, Ralph Joseph Divino, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1990. Ralph had worked at 13 firms and has passed the Series 63, SIE 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
September 20, 2022 - July 9, 2025
BNY MELLON SECURITIES CORPORATION
August 14, 2020 - September 12, 2022
ALPS DISTRIBUTORS, INC.
November 28, 2017 - November 22, 2019
DELAWARE DISTRIBUTORS, L.P.
July 21, 2010 - August 8, 2017
VOYA INVESTMENTS DISTRIBUTOR, LLC
February 22, 2010 - August 18, 2010
ING INVESTMENT MANAGEMENT SERVICES LLC
March 9, 2009 - December 31, 2009
UBS FINANCIAL SERVICES INC.
September 29, 2006 - December 4, 2008
BLACKROCK INVESTMENTS, LLC
September 15, 2005 - September 29, 2006
FAM DISTRIBUTORS, INC.
November 15, 2001 - August 11, 2004
UBS ASSET MANAGEMENT (US) INC.
April 3, 2001 - June 1, 2001
DEUTSCHE BANK SECURITIES INC.
February 11, 2000 - March 7, 2001
FORUM FINANCIAL SERVICES, LLC
March 3, 1999 - May 14, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 1990 - February 1, 1999
DB ALEX. BROWN LLC
Primary Firm SEC Registration
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
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
BNY MELLON SECURITIES CORPORATION
CRD#: 231 / SEC#: 801-54739, 8-13801
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY MELLON INVESTMENT ADVISER, INC. | DIRECT OWNER | |
| BRADLE, KENNETH JAMES | PRESIDENT AND DIRECTOR | 1827956 |
| DIPETRILLO, DAVID JOHN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4904926 |
| MARQUIT, HAL ROBERT | ROSFP (SROP/CROP) & MUNICIPAL SECURITIES PRINCIPAL | 1530120 |
| OSAVAGE, JACK EDWARD | CHIEF TECHNOLOGY OFFICER | 8186430 |
| PAPADOULIS, IRENE DESPINA | EXECTUVE VICE PRESIDENT AND DIRECTOR | 733025 |
| PASQUALE, GREGORY JOHN | CHIEF FINANCIAL OFFICER & TREASURER & FINOP | 6562167 |
| PIGOTT, JOSEPH E | CHIEF RISK OFFICER | 6619448 |
| ROBINSON, SCOTT JARED | CHIEF LEGAL OFFICER | 5396859 |
| SACCONE, ROBERT BRIAN | CHIEF COMPLIANCE OFFICER (BROKERDEALER) | 1114349 |
| SQUILLACE, JOHN | CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISORY BUSINESS) | 5504616 |
Regulatory assets under management
| Total Number of Accounts | 3,823 |
| AUM (Assets Under Management) | $ 7,139,421,698 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 8 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
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.
