Ralph Mitchell

CARTHAGE FINANCIAL GROUP

Braintree, MA 02184

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CRD#: 2134965

Professional summary

Ralph Mitchell is a registered financial advisor currently at CARTHAGE FINANCIAL GROUP, LLC located in Braintree, Massachusetts.

Ralph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Ralph has worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. CARTHAGE FINANCIAL GROUP/INSURANCE AGENT/OWNER/PRESIDENT;4 MAPLE STREET SUITE 4, QUINCY, MA 01969;LIFE, HEALTH, DISABILITY SALES, INVESTMENT ADVISORY BUSINESS; STARTED 01/1992; 20 HOURS PER WEEK FOR ALL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph Mitchell's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 12, 2012 - Present

CARTHAGE FINANCIAL GROUP, LLC

Office #1: 78 Hancock Street, Suite # 15, Braintree, MA 02184

RIA

CRD#: 160950

Braintree, MA

Past

January 11, 2012 - October 1, 2013

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

January 8, 2009 - December 31, 2011

RESOURCE HORIZONS INVESTMENT ADVISORY, INC.

RIA

CRD#: 143384

QUINCY, MA

Past

January 2, 2009 - December 31, 2011

RESOURCE HORIZONS GROUP LLC

CRD#: 104368

QUINCY, MA

Past

January 27, 2006 - December 31, 2008

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

QUINCY, MA

Past

May 20, 1994 - December 31, 2008

INVESTORS CAPITAL CORP.

CRD#: 30613

QUINCY, MA

Past

August 2, 1993 - May 26, 1994

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

July 30, 1992 - May 14, 1993

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

July 30, 1992 - May 14, 1993

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

June 17, 1991 - December 5, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(6/12/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/17/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/13/1991

General Securities Representative Examination

Current Firm

CARTHAGE FINANCIAL GROUP, LLC

CARTHAGE FINANCIAL GROUP | MITCHELL, RALPH | CARTHAGE FINANCIAL GROUP, LLC

CRD#: 160950 / SEC#:

Massachusetts

Registered Investment Advisory firm - (6/12/2012 Approved)

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Contact information

Main Address

78 Hancock Street, Suite # 15, Braintree, MA 02184

Mailing Address

Phone number

(781) 519-4920

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	45
AUM (Assets Under Management)	$ 1,600,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Ralph Mitchell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph Mitchell's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESTERS EQUITY SERVICES, INC.

RESOURCE HORIZONS INVESTMENT ADVISORY, INC.

RESOURCE HORIZONS GROUP LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

QUEST CAPITAL STRATEGIES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 1/17/2006

Series 63

Date: 6/26/1991

Series 7

Date: 6/13/1991

Current Firm

CARTHAGE FINANCIAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CARTHAGE FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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