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Douglas Paul Ralston

Shearman, Ralston Inc.

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About Douglas Paul Ralston

Douglas Ralston is a financial advisor with over 50 years of experience in the industry. Douglas has been with Shearman, Ralston Inc. since January 3, 1977. Douglas has extensive experience working with high-net-worth individuals, trusts, estates, and charitable organizations. Douglas's prior firms include Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith, Inc., and Source Securities Corporation. Douglas holds a variety of licenses including Series 4, 7, 14, 24, 52, 53, and 99.

Firm Information

Douglas Ralston is currently registered with Shearman, Ralston Inc.. Shearman, Ralston Inc. is a Corporation formed in 1976 and registered with the SEC and in 5 states. The firm provides investment advisory services to high-net-worth individuals, individuals other than high-net-worth, and trusts. They manage approximately $88 million in assets for 41 clients.

$88.04M

Assets Under Management

Not reported

Total Clients

4

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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trusts, estates and charitable organizations

Trusts, estates and charitable organizations

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Douglas Ralston’s Registration & Firm History

CT

01/03/1977 - Present

Shearman, Ralston Inc. (GREENWICH CT)

NA

11/14/1975 - 07/14/1976

GOLDMAN, SACHS & CO.

NA

04/21/1975 - 01/18/1976

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

NA

03/29/1971 - 07/18/1975

SOURCE SECURITIES CORPORATION

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Licenses & Designations

BC

Issued 01/02/2023

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 05/26/1977

Series 4 - Registered Options Principal Examination

BC

Issued 03/22/1971

Series 00 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Douglas Paul Ralston.
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