Ralph H. Ames
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 Herbert Ames, who also goes by Skip Ames, was a registered financial advisor .
Ralph is a previously registered financial advisor and started their career in finance in 1971. Ralph had worked at 13 firms and has passed the Series 63, SIE, Series 1, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2013 - January 9, 2015
D.A. DAVIDSON & CO.
November 25, 2013 - January 9, 2015
D.A. DAVIDSON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
December 31, 1997 - November 4, 2013
CROWELL, WEEDON & CO.
October 19, 1981 - November 4, 2013
CROWELL, WEEDON & CO.
September 11, 1981 - November 5, 1981
SECURITIES WEST, INC.
January 29, 1981 - August 29, 1984
INVESTORS FINANCIAL SERVICES, INCORPORATED
May 2, 1980 - June 17, 1981
INVESTORS FINANCIAL SERVICES, INC.
October 27, 1978 - May 23, 1980
SUTRO & CO. INCORPORATED
August 9, 1978 - November 13, 1978
C. L. MCKINNEY & CO., INC.
November 22, 1977 - January 30, 1978
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
February 20, 1976 - November 17, 1976
SHEARSON HAYDEN STONE INC.
June 25, 1974 - March 19, 1976
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
November 4, 1971 - July 7, 1974
ROBERTS, SCOTT & CO., INC.
Primary Firm SEC Registration
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
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: 10/26/1971
Registered Representative ExaminationCurrent Firm
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D.A. DAVIDSON COMPANIES | HOLDING COMPANY | |
| BEAUPREZ, JACQUELINE ANN | SVP, GENERAL COUNSEL | 4075012 |
| CRONK, JAMES LEE | PRINCIPAL OPERATIONS OFFICER | 1104799 |
| DISPENSE, MARC RUSSELL | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 4655410 |
| MARTINEZ, LAWRENCE TODD | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 4596308 |
| MCCUBBIN, JARED C | SVP, CHIEF COMPLIANCE OFFICER | 4969077 |
| MCKINNEY, RORY ADAM | PRESIDENT, EQUITY CAPITAL MARKETS | 4735577 |
| PURPURA, MICHAEL JOSEPH | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 2095576 |
| ZADICK, JUSTINE MILNE | PRINCIPAL FINANCIAL OFFICER | 6452559 |
Regulatory assets under management
| Total Number of Accounts | 86,818 |
| AUM (Assets Under Management) | $ 36,175,333,459 |
Disclosures
| Regulatory Event | 41 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 | ||
| 12/22/2022 |
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.
