Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ralph? Claim Your ProfileRalph Holmes is a financial advisor with Piper Sandler & Co., a firm that manages assets in the range of $1 billion - $10 billion for 21 clients. Ralph has over 20 years of experience in the financial industry. Ralph holds the following licenses: Series 7, Series 50, Series 52TO, Series 53, Series 63, Series 79TO and SIE. Ralph has been with Piper Sandler & Co. since 2001 and has previously worked at Stifel, Nicolaus & Company, Incorporated and E.J. DE LA ROSA & CO., INC. Ralph has extensive experience in municipal finance, investment banking, and portfolio management. Ralph is registered in California.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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
CA
08/25/2017 - Present
Piper Sandler & Co. (Walnut Creek CA)
CA
04/21/2014 - 08/31/2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED (SAN FRANCISCO CA)
CA
04/06/2006 - 06/25/2014
E.J. DE LA ROSA & CO., INC. (SAN FRANCISCO CA)
CA
01/01/2001 - 04/12/2006
PIPER JAFFRAY & CO. (SAN FRANCISCO CA)
BC
Issued 06/11/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/06/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/2016
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 12/28/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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