Ralph E. Rolfe

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CRD#: 2607781

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 Everett Rolfe, who also goes by Ralph E Rolfe, was a registered financial professional .

Ralph is a previously registered financial professional and started their career in finance in 1995. Ralph had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ralph E Rolfe

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

May 13, 2020 - June 4, 2021

MAGNATE ADVISORY SERVICES, LLC

RIA

CRD#: 283056

Centerville, OH

Past

January 3, 2018 - May 8, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

CETERVILLE, OH

Past

January 3, 2018 - May 8, 2020

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

Centerville, OH

Past

January 1, 2004 - April 23, 2018

CETERA ADVISORS LLC

RIA

CRD#: 10299

CENTERVILLE, OH

Past

January 1, 2004 - April 23, 2018

CETERA ADVISORS LLC

CRD#: 10299

CENTERVILLE, OH

Past

December 7, 1999 - January 1, 2004

VESTAX SECURITIES CORPORATION

RIA

CRD#: 10332

KETTERING, OH

Past

July 17, 1998 - January 1, 2004

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

April 25, 1995 - July 20, 1998

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MAGNATE ADVISORY SERVICES, LLC

CRD#: 283056 / SEC#: 801-118616

RIA

Registered Investment Advisory firm - (4/29/2020 Approved)

Indiana

Registered Investment Advisory firm - (5/11/2020 Terminated)

Kentucky

Registered Investment Advisory firm - (5/7/2020 Terminated)

Ohio

Registered Investment Advisory firm - (5/7/2020 Terminated)

Tennessee

Registered Investment Advisory firm - (5/8/2020 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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 66

Date: 11/11/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/22/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/16/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/24/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MAGNATE ADVISORY SERVICES, LLC

CRD#: 283056 / SEC#: 801-118616

RIA

Registered Investment Advisory firm - (4/29/2020 Approved)

Indiana

Registered Investment Advisory firm - (5/11/2020 Terminated)

Kentucky

Registered Investment Advisory firm - (5/7/2020 Terminated)

Ohio

Registered Investment Advisory firm - (5/7/2020 Terminated)

Tennessee

Registered Investment Advisory firm - (5/8/2020 Terminated)

Texas

Registered Investment Advisory firm - (5/7/2020 Terminated)

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Contact information

Main Address

400 Blankenbaker Parkway Suite 100, Louisville, KY 40243

Mailing Address

Phone number

(502) 855-3160

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MASLLC FORM ADV PART 2A 2024 FINAL (3/27/2025)

Regulatory assets under management

Total Number of Accounts	2,074
AUM (Assets Under Management)	$ 260,916,167

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.

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Firm Stability Insights

Ralph E. Rolfe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

VESTAX SECURITIES CORPORATION

VESTAX SECURITIES CORPORATION

GUARDIAN INVESTOR SERVICES LLC

Primary Firm SEC Registration

MAGNATE ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/11/2002

Series 63

Date: 5/22/1995

SIE

Date: 10/1/2018

Series 7

Date: 3/16/1998

Series 6

Date: 4/24/1995

Current Firm

MAGNATE ADVISORY SERVICES, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAGNATE ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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