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 registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., located in WAYNE, NJ. Ralph has been in the financial services industry since 1992. Ralph has passed the Series 7, 8, 31, 63 and 65 exams. Ralph has registrations in 33 states. Ralph has experience in providing investment advice to individuals, businesses, and institutions. Ralph also specializes in portfolio management, financial planning, and pension consulting.
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 07/18/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/20/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/02/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/2005
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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