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Ralph W. Rudolph

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CRD#: 2472688
RR

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 Rudolph was a registered financial professional .

Ralph is a previously registered financial professional and started their career in finance in 1994. Ralph had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 22 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 4, 2019 - July 29, 2019

COMPASS DISTRIBUTORS, LLC

BD
CRD#: 172662
Milwaukee, WI
Past

March 29, 2017 - October 11, 2018

ASCENDANT ALTERNATIVE STRATEGIES, LLC

BD
CRD#: 283881
WHITE PLAINS, NY
Past

February 22, 2017 - March 29, 2017

AXIOM CAPITAL MANAGEMENT, INC.

BD
CRD#: 26580
NEW YORK, NY
Past

April 1, 2014 - March 18, 2016

BOYLE CAPITAL

RIA
CRD#: 132416
LA GRANGE, IL
Past

December 15, 2011 - March 6, 2012

DEWAAY FINANCIAL NETWORK, LLC

BD
CRD#: 30767
CLIVE, IA
Past

January 19, 2011 - February 24, 2014

PACIFIC FINANCIAL GROUP, LLC

RIA
CRD#: 143041
NASHVILLE, TN
Past

June 19, 2001 - December 16, 2009

INLAND SECURITIES CORPORATION

BD
CRD#: 15807
OAK BROOK, IL
Past

March 29, 1999 - July 9, 2001

KELMOORE INVESTMENT COMPANY, INC.

BD
CRD#: 22509
PALO ALTO, CA
Past

September 7, 1995 - March 30, 1999

INLAND SECURITIES CORPORATION

BD
CRD#: 15807
OAK BROOK, IL
Past

February 17, 1995 - July 31, 1995

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

January 4, 1995 - January 26, 1995

DICKINSON & CO.

BD
CRD#: 689
DES MOINES, IA
Past

April 20, 1994 - January 16, 1995

MONTANO SECURITIES CORPORATION

BD
CRD#: 7887
ORANGE, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/13/2016
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/9/2011
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 3/18/2016
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 4/18/1994
General Securities Representative Examination

Current Firm

CD
COMPASS DISTRIBUTORS, LLC
COMPASS DISTRIBUTORS, LLC | FORESIDE SECURITIES, LLC

CRD#: 172662 / SEC#: , 8-69518

BD
Terminated by SEC on 12/13/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/06/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LA FOND, SUSAN LORENECHIEF COMPLIANCE OFFICER / VP / TREASURER4512785

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.

Company Information

COMPASS DISTRIBUTORS, LLC

CRD#: 172662

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