Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ralph? Claim Your ProfileRalph L. Anderson has been in the financial services industry since 1986. Ralph currently works as a Registered Representative and Investment Advisor Representative for Merrill Lynch, Pierce, Fenner & Smith Inc. in Birmingham, Alabama. Ralph previously worked at several other firms including Legg Mason Wood Walker, Incorporated, J.C. Bradford & Co., Lincoln Financial Advisors Corporation, The Lincoln National Life Insurance Company, Morgan Keegan & Company, Inc., Regions Investment Company, Inc., Lehman Brothers Inc., and E. F. Hutton & Company Inc. Ralph has passed several industry exams including the Series 3, 7, 31, 63 and 65 exams. Ralph is registered with the Securities and Exchange Commission (SEC) and FINRA.
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
AL
10/14/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BIRMINGHAM AL)
MD
09/08/1997 - 02/14/2003
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
01/31/1994 - 09/15/1997
J.C. BRADFORD & CO. (NEW YORK NY)
IN
12/15/1992 - 02/16/1994
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
12/15/1992 - 02/16/1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
TN
06/04/1991 - 01/13/1992
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
AL
12/14/1990 - 06/06/1991
REGIONS INVESTMENT COMPANY, INC. (BIRMINGHAM AL)
NY
05/14/1988 - 11/01/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
06/18/1985 - 05/14/1988
E. F. HUTTON & COMPANY INC
IA
Issued 12/23/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/19/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 06/03/1986
Series 3 - National Commodity Futures Examination
BC
Issued 06/15/1985
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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