Ralph L. Falls
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 Lane Falls, who also goes by Ralph Lane Falls III, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1997. Ralph had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55 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
January 3, 2019 - January 3, 2022
OLIVETREE FINANCIAL, LLC
August 24, 2015 - May 14, 2018
BARCLAYS CAPITAL INC.
October 26, 2010 - June 29, 2015
JANNEY MONTGOMERY SCOTT LLC
April 7, 2008 - October 20, 2010
THE BENCHMARK COMPANY, LLC
September 11, 2006 - February 12, 2007
LEERINK PARTNERS LLC
September 21, 2000 - September 19, 2006
BANC OF AMERICA SECURITIES LLC
February 24, 1998 - September 5, 2000
DEUTSCHE IXE, LLC
June 5, 1997 - November 17, 1997
INTERFIRST CAPITAL CORPORATION
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/23/1999
Limited Representative-Equity Trader ExamCurrent Firm
OLIVETREE FINANCIAL, LLC
CRD#: 154026 / SEC#: , 8-68603
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
