Mark W. Ralfs
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.
Mark William Ralfs, who also goes by Mark W Ralfs, Mark William Ralfs Mr., Mark William Ralfs, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2002. Mark had worked at 6 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2021 - January 2, 2025
LARSON FINANCIAL GROUP, LLC
November 16, 2018 - July 1, 2021
LION STREET ADVISORS, LLC
March 28, 2013 - January 5, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
March 28, 2013 - January 5, 2016
BMO HARRIS FINANCIAL ADVISORS, INC.
October 23, 2009 - January 31, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - January 31, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 17, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 16, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 28, 2002 - August 19, 2004
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
LARSON FINANCIAL GROUP, LLC
CRD#: 140599 / SEC#: 801-71543
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
Current Firm
LARSON FINANCIAL GROUP, LLC
CRD#: 140599 / SEC#: 801-71543
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24,504 |
| AUM (Assets Under Management) | $ 4,032,736,835 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/08/2024 | ||
| 12/13/2023 | ||
| 01/03/2023 |
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.
