Ralph A. Macdonald
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 Alan Macdonald SR, who also goes by Ralph Alan Macdonald, Ralph Allen Macdonald, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1969. Ralph had worked at 11 firms and has passed the Series 63, Series 5, PC, Series 1, Series 8 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2007 - April 15, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 29, 2002 - April 24, 2007
RYAN BECK & CO.
April 6, 2001 - May 20, 2002
GRUNTAL & CO., L.L.C.
June 26, 1996 - April 10, 2001
D H BRUSH & ASSOCIATES, INC.
September 1, 1994 - April 18, 1995
PRINCIPAL FINANCIAL SECURITIES,INC.
June 24, 1994 - September 1, 1994
HAMILTON INVESTMENTS, INC.
May 16, 1990 - May 10, 1994
HOWE BARNES HOEFER & ARNETT, INC.
September 26, 1974 - May 18, 1990
RODMAN & RENSHAW INC.
September 18, 1972 - February 7, 1975
MCMASTER HUTCHINSON & CO.
December 1, 1970 - September 25, 1972
AMERICAN SECURITIES BD CO., L.P.
August 6, 1969 - May 2, 1971
KENOWER MAC ARTHUR AND CO
Primary Firm SEC Registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
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 5
Date: 10/20/1981
Interest Rate Options ExaminationPC
Date: 6/1/1977
AMEX Put and Call ExamSeries 1
Date: 8/1/1969
Registered Representative ExaminationSeries 8
Date: 5/4/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 4/6/1973
General Securities Principal ExaminationCurrent Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793 / SEC#: 801-10746, 8-1447
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
