Douglas P. Ralston
Professional summary
Douglas Paul Ralston is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Paul Ralston's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 1977 - Present
SHEARMAN, RALSTON INC.
Office #1: 333 Greenwich Avenue, Greenwich, CT 06830Office #2: 333 Greenwich Avenue, Greenwich, CT 06830November 14, 1975 - July 14, 1976
GOLDMAN SACHS & CO. LLC
April 21, 1975 - January 18, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
March 29, 1971 - July 18, 1975
SOURCE SECURITIES 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
(4/3/1987)
(1/23/2023)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 00
Date: 3/22/1971
General Securities Principal ExaminationFINRA
Current Firm
SHEARMAN, RALSTON INC.
CRD#: 7320 / SEC#: , 8-21190
Contact information
FINRA licenses (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 42 |
| AUM (Assets Under Management) | $ 97,678,492 |
Red Flags
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