Ralph W. Herold
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 Werner Herold was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1975. Ralph had worked at 6 firms and has passed the Series 63, Series 3, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 1995 - May 17, 1995
ESSEX NATIONAL SECURITIES, LLC
July 31, 1993 - August 5, 1994
CITIGROUP GLOBAL MARKETS INC.
June 22, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
April 24, 1987 - June 25, 1992
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - April 29, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 24, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
PC
Date: 9/1/1982
AMEX Put and Call ExamSeries 8
Date: 2/27/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ESSEX NATIONAL SECURITIES, LLC
CRD#: 25454 / SEC#: 801-70990, 8-41750
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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