Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ralph? Claim Your ProfileRalph Daniel Diaz is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Ralph has been working in the financial industry since 1992. Ralph is licensed to provide investment advisory services in New Jersey and Texas. Ralph has a wide range of experience and holds the Series 7, 8, 31 and 63 licenses as well as the SIE and Series 65 exams. In addition, Ralph has a history of working with Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Olde Discount Corporation, PaineWebber Incorporated, and Lehman Brothers Inc.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
12/19/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WAYNE NJ)
NJ
06/01/2009 - 01/25/2010
MORGAN STANLEY SMITH BARNEY (MORRISTOWN NJ)
NJ
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (MORRISTOWN NJ)
NJ
04/05/2000 - 04/02/2007
MORGAN STANLEY DW INC. (MORRISTOWN NJ)
MI
06/29/1994 - 04/10/2000
OLDE DISCOUNT CORPORATION (DETROIT MI)
NJ
04/03/1993 - 05/13/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
12/20/1991 - 03/30/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 7/18/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 3/2/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/27/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 12/19/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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