Douglas Paul Ralston
Professional Summary
Douglas Paul Ralston is a registered financial advisor currently at SHEARMAN, RALSTON INC. located in Greenwich, Connecticut. Douglas is registered as a RR (Registered Representative) and started their career in finance in 1971. Douglas has worked at 4 firms and has passed the Series 7TO, Series 99TO, Series 52TO, SIE, Series 24, Series 53, Series 14, Series 4 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Years of Experience
55 years in the financial services industry
Current & Past Employments
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Current Firm
SHEARMAN, RALSTON INC.
Contact Information
Main Address
333 Greenwich Avenue, Greenwich, CT 06830Mailing Address
333 Greenwich Avenue, Greenwich, CT 06830Phone Number
(203) 489-3902Established
New York since 10/15/1976Firm Type
CorporationFiscal Year End
SeptemberFirm Size
Small# of Employees
4FINRA licenses (6 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
42AUM (Assets Under Management)
$97,678,492Similar Advisors
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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.
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State Registrations and Notice Filings
(4/3/1987)
(1/23/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 00 — General Securities Principal Examination
Passed Mar 1971SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Douglas Paul Ralston's CRS (Customer Relationship Summary).
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