Nicole A. Ralph

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CRD#: 4648326

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.

Nicole Annette Ralph, CFP®, who also goes by Nicole Annette Ponzio, was a registered financial professional .

Nicole is a previously registered financial professional and started their career in finance in 2003. Nicole had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicole Annette Ponzio

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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Past

February 7, 2023 - September 3, 2024

TANAGER WEALTH MANAGEMENT

RIA

CRD#: 166084

LONDON,

Past

November 2, 2015 - January 2, 2019

SVB WEALTH

RIA

CRD#: 172832

MADISON, WI

Past

February 28, 2011 - December 12, 2014

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

MADISON, WI

Past

February 28, 2011 - December 12, 2014

RBC CAPITAL MARKETS, LLC

CRD#: 31194

MADISON, WI

Past

May 12, 2004 - March 2, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MADISON, WI

Past

May 12, 2004 - March 2, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MADISON, WI

Past

June 9, 2003 - May 3, 2004

STRONG CAPITAL MANAGEMENT INC

RIA

CRD#: 106638

MADISON, WI

Past

May 22, 2003 - May 3, 2004

STRONG INVESTMENTS, INC.

CRD#: 15658

MENOMONEE FALLS, WI

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".

TANAGER WEALTH MANAGEMENT

TANAGER WEALTH MANAGEMENT | TANAGER WEALTH MANAGEMENT LLP

CRD#: 166084 / SEC#: 801-77494

RIA

Registered Investment Advisory firm - (1/8/2013 Approved)

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 66

Date: 6/6/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/12/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/21/2003

General Securities Representative Examination

Current Firm

TANAGER WEALTH MANAGEMENT

TANAGER WEALTH MANAGEMENT | TANAGER WEALTH MANAGEMENT LLP

CRD#: 166084 / SEC#: 801-77494

RIA

Registered Investment Advisory firm - (1/8/2013 Approved)

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Contact information

Main Address

7th Floor, East Wing Vintners Place 68 Upper Thames Street, London, EC4V 3BJ

Mailing Address

The White House Mill Road, Goring On Thames, RG8 9DD

Phone number

020 3965 6330

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (4/4/2025)

Regulatory assets under management

Total Number of Accounts	2,682
AUM (Assets Under Management)	$ 1,259,359,198

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.

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Advisor Monitoring

Firm Stability Insights

Nicole A. Ralph

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SVB WEALTH

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

STRONG CAPITAL MANAGEMENT INC

STRONG INVESTMENTS, INC.

Primary Firm SEC Registration

TANAGER WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 6/6/2003

SIE

Date: 12/12/2014

Series 7

Date: 5/21/2003

Current Firm

TANAGER WEALTH MANAGEMENT

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TANAGER WEALTH MANAGEMENT

TRUST BUT VERIFY

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