Ralph W. Savoie
Professional summary
Ralph Willard Savoie was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ralph is a previously registered financial advisor and started their career in finance in 1973. Prior to being barred, Ralph had worked at 13 firms, which includes CAMBRIDGE INVESTMENT RESEARCH ADVISORS INC., CAMBRIDGE INVESTMENT RESEARCH INC., VOYA FINANCIAL ADVISORS INC., PARK AVENUE SECURITIES LLC, MSI FINANCIAL SERVICES INC., METROPOLITAN LIFE INSURANCE COMPANY, SECURIAN FINANCIAL SERVICES INC., THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY, INTEGRATED RESOURCES EQUITY CORPORATION, FSC SECURITIES CORPORATION, PAUL REVERE EQUITY SALES COMPANY (THE), THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2013 - September 1, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 30, 2013 - September 1, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 13, 2008 - July 18, 2013
VOYA FINANCIAL ADVISORS, INC.
March 6, 2007 - July 18, 2013
VOYA FINANCIAL ADVISORS, INC.
January 20, 2004 - May 24, 2005
PARK AVENUE SECURITIES LLC
July 9, 2003 - May 24, 2005
PARK AVENUE SECURITIES LLC
August 26, 2002 - May 29, 2003
MSI FINANCIAL SERVICES, INC.
October 24, 2001 - May 29, 2003
METROPOLITAN LIFE INSURANCE COMPANY
October 24, 2001 - May 29, 2003
MSI FINANCIAL SERVICES, INC.
April 21, 1987 - October 31, 2001
SECURIAN FINANCIAL SERVICES, INC.
July 19, 1983 - April 15, 1987
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
February 23, 1983 - May 26, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
March 11, 1982 - March 31, 1983
FSC SECURITIES CORPORATION
June 12, 1975 - March 17, 1978
PAUL REVERE EQUITY SALES COMPANY (THE)
June 12, 1975 - February 28, 1984
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
December 13, 1973 - June 28, 1975
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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 1
Date: 12/8/1973
Registered Representative ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
