Ralph Mitchell
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 Mitchell was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1991. Ralph had worked at 9 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
June 12, 2012 - December 31, 2025
CARTHAGE FINANCIAL GROUP, LLC
January 11, 2012 - October 1, 2013
FORESTERS EQUITY SERVICES, INC.
January 8, 2009 - December 31, 2011
RESOURCE HORIZONS INVESTMENT ADVISORY, INC.
January 2, 2009 - December 31, 2011
RESOURCE HORIZONS GROUP LLC
January 27, 2006 - December 31, 2008
INVESTORS CAPITAL CORP.
May 20, 1994 - December 31, 2008
INVESTORS CAPITAL CORP.
August 2, 1993 - May 26, 1994
QUEST CAPITAL STRATEGIES, INC.
July 30, 1992 - May 14, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 30, 1992 - May 14, 1993
EQUITABLE ADVISORS, LLC
June 17, 1991 - December 5, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
CARTHAGE FINANCIAL GROUP, LLC
CRD#: 160950 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 45 |
| AUM (Assets Under Management) | $ 1,600,000 |
Red Flags
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