RR
Robert M. Ralph
CLEAR STREET LLC
Boston, MA 02108
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CRD#: 5391150
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Professional summary
Robert Morgan Ralph is a registered financial professional currently at CLEAR STREET LLC located in Boston, Massachusetts.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2007. Robert has worked at 8 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Robert Morgan Ralph's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 3, 2025 - Present
CLEAR STREET LLC
Office #1: 121 Mount Vernon Street,, Boston, MA 02108BD
CRD#: 288933
Boston, MA
Past
September 8, 2021 - June 4, 2025
UBS SECURITIES LLC
BD
CRD#: 7654
BOSTON, MA
Past
October 16, 2020 - August 22, 2021
STATE STREET GLOBAL MARKETS, LLC
BD
CRD#: 285852
BOSTON, MA
Past
February 11, 2014 - November 10, 2015
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
BOSTON, MA
Past
April 22, 2013 - August 9, 2013
FINARC INVESTMENTS, INC.
RIA
CRD#: 166571
NORWOOD, MA
Past
March 25, 2013 - August 9, 2013
FINARC LLC
RIA
CRD#: 107487
NORWOOD, MA
Past
August 14, 2008 - September 10, 2012
BROWN BROTHERS HARRIMAN & CO.
BD
CRD#: 104487
NEW YORK, NY
Past
September 20, 2007 - June 6, 2008
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
NEW YORK, NY
Past
August 31, 2007 - June 6, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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Alabama(6/3/2025)
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Alaska(6/3/2025)
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Arizona(6/3/2025)
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Arkansas(6/3/2025)
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California(6/3/2025)
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Colorado(6/3/2025)
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Connecticut(6/3/2025)
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Delaware(6/3/2025)
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District of Columbia(6/3/2025)
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Florida(6/3/2025)
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Georgia(6/3/2025)
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Hawaii(6/3/2025)
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Idaho(6/3/2025)
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Illinois(6/3/2025)
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Indiana(6/3/2025)
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Iowa(6/3/2025)
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Kansas(6/3/2025)
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Kentucky(6/3/2025)
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Louisiana(6/3/2025)
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Maine(6/3/2025)
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Maryland(6/3/2025)
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Massachusetts(6/3/2025)
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Michigan(6/3/2025)
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Minnesota(6/3/2025)
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Mississippi(6/3/2025)
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Missouri(6/3/2025)
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Montana(6/3/2025)
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Nebraska(6/3/2025)
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Nevada(6/3/2025)
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New Hampshire(6/3/2025)
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New Jersey(6/3/2025)
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New Mexico(6/3/2025)
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New York(6/3/2025)
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North Carolina(6/3/2025)
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North Dakota(6/3/2025)
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Ohio(6/3/2025)
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Oklahoma(6/3/2025)
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Oregon(6/3/2025)
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Pennsylvania(6/3/2025)
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Puerto Rico(6/3/2025)
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Rhode Island(6/3/2025)
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South Carolina(6/3/2025)
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South Dakota(6/3/2025)
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Tennessee(6/3/2025)
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Texas(6/3/2025)
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Utah(6/3/2025)
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Vermont(6/3/2025)
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Virgin Islands(6/3/2025)
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Virginia(6/3/2025)
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Washington(6/3/2025)
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West Virginia(6/3/2025)
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Wisconsin(6/3/2025)
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Wyoming(6/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
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Series 7TO
Date: 10/15/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
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BOX Exchange LLC
SRO Registrations
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Cboe BYX Exchange, Inc.
SRO Registrations
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Cboe BZX Exchange, Inc.
SRO Registrations
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Cboe C2 Exchange, Inc.
SRO Registrations
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Cboe EDGA Exchange, Inc.
SRO Registrations
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Cboe EDGX Exchange, Inc.
SRO Registrations
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Cboe Exchange, Inc.
SRO Registrations
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FINRA
SRO Registrations
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Investors' Exchange LLC
SRO Registrations
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Long-Term Stock Exchange, Inc.
SRO Registrations
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MEMX LLC
SRO Registrations
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MIAX Emerald, LLC
SRO Registrations
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MIAX PEARL, LLC
SRO Registrations
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MIAX Sapphire
SRO Registrations
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Miami International Securities Exchange, LLC
SRO Registrations
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NYSE American LLC
SRO Registrations
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NYSE Arca, Inc.
SRO Registrations
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NYSE National, Inc.
SRO Registrations
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NYSE Texas, Inc.
SRO Registrations
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Nasdaq BX, Inc.
SRO Registrations
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Nasdaq GEMX, LLC
SRO Registrations
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Nasdaq ISE, LLC
SRO Registrations
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Nasdaq MRX, LLC
SRO Registrations
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Nasdaq PHLX LLC
SRO Registrations
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Nasdaq Stock Market
SRO Registrations
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New York Stock Exchange
Current Firm
CS
CLEAR STREET LLC
CENTERPOINT SECURITIES | GLOBECS, LLC | CLEAR STREET, LLC | CLEAR STREET LLC | CLEAR STREET FUTURES
CRD#: 288933 / SEC#: , 8-69972
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007
Mailing Address
4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007
Phone number
(646) 738-4066
Established
Delaware since 12/20/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLEAR STREET HOLDINGS LLC | SOLE CLASS A MEMBER | |
| AUSUBEL, ELLI MARK | DIRECTOR | 5715145 |
| COHEN, URIEL EPHRAIM | DIRECTOR | 4089765 |
| HAMMERICH, DALF PAUL | HEAD OF SUPPORT | 4710381 |
| MOCCIA, CHRISTY NOEL | CHIEF COMPLIANCE OFFICER | 4855629 |
| OLIVEIRA, BRIAN | CFO/FINOP/PRINCIPAL FINANCIAL OFFICER | 5371120 |
| SICKLICK, KENNETH | DIRECTOR | 7418830 |
| VOLZ, ANDREW | DIRECTOR, CHIEF EXECUTIVE OFFICER | 4808674 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
Company Information
CLEAR STREET LLC
CRD#: 288933Boston, MA 02108TRUST BUT VERIFY
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