Ralph Q. Mayhorn

Some features on this profile are disabled

CRD#: 4129139

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 Quinlin Mayhorn II was a registered financial professional .

Ralph is a previously registered financial professional and started their career in finance in 2000. Ralph had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 8, 2018 - February 6, 2018

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

SAN ANTONIO, TX

Past

August 20, 2015 - February 6, 2018

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

SAN ANTONIO, TX

Past

October 5, 2007 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

SAN ANTONIO, TX

Past

September 6, 2007 - February 6, 2018

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

SAN ANTONIO, TX

Past

April 19, 2006 - October 15, 2007

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

SAN ANTONIO, TX

Past

April 19, 2006 - October 15, 2007

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

SAN ANTONIO, TX

Past

January 2, 2004 - April 19, 2006

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

SAN ANTONIO, TX

Past

March 28, 2003 - April 19, 2006

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

SAN ANTONIO, TX

Past

March 8, 2000 - December 31, 2003

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

SAN ANTONIO, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY

CRD#: 5475 / SEC#: 801-126328, 8-41241

RIA

Registered Investment Advisory firm - SEC (8/3/2022 Approved)

Arizona

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Colorado

Registered Investment Advisory firm - SEC (8/24/2022 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/24/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/15/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/6/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/7/2000

General Securities Representative Examination

Current Firm

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY

CRD#: 5475 / SEC#: 801-126328, 8-41241

RIA

Registered Investment Advisory firm - SEC (8/3/2022 Approved)

Arizona

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Colorado

Registered Investment Advisory firm - SEC (8/24/2022 Terminated)

Florida

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Texas

Registered Investment Advisory firm - SEC (8/19/2022 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

9800 Fredericksburg Road, San Antonio, TX 78288-0227

Mailing Address

9800 Fredericksburg Road, San Antonio, TX 78288-0227

Phone number

(800) 531-7960

Established

Delaware since 09/01/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

152

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ISCO PART2A INVESTMENT SERVICES BROCHURE MAY 2025 (5/29/2025)

ISCO FOMR ADV PART 2B BROCHURE SUPPLEMENT MARCH 2025 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
USAA INVESTMENT CORPORATION (PARENT CO.)	SHAREHOLDER
BEALL, KEVIN DOUGLAS	VICE PRESIDENT, DIRECTOR	4202452
CARTER, BRANDON DANE	DIRECTOR, CHAIRMAN OF THE BOARD	2939393
ECK, FRANK THOMAS IV	SECRETARY	7979835
FLORES, JENNIFER MARGRET	FINOP AND PRINCIPAL FINANCIAL OFFICER	4175069
HANKS, KARE ELIZABETH	DIRECTOR, VICE PRESIDENT	2883762
MUIR, JAMES DYER	CHIEF COMPLIANCE OFFICER	2801996
PEREZ-ROSSELLO, MADELINE IVETTE	ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER	4033239
STORK, MARY ELIZABETH	DIRECTOR	2960253
WHITE, WILLIAM SWEENEY	PRESIDENT, VICE-CHAIRMAN, DIRECTOR	4843743

Disclosures

Regulatory Event	1
Arbitration	4

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ralph Q. Mayhorn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL ADVISORS, INC.

USAA FINANCIAL PLANNING SERVICES

USAA INVESTMENT SERVICES COMPANY

Primary Firm SEC Registration

USAA INVESTMENT SERVICES COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 3/24/2003

Series 63

Date: 3/15/2000

SIE

Date: 2/6/2018

Series 7

Date: 3/7/2000

Current Firm

USAA INVESTMENT SERVICES COMPANY

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

USAA INVESTMENT SERVICES COMPANY

TRUST BUT VERIFY

Similar Advisors