Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ralph? Claim Your ProfileRalph Mak is an investment advisor representative with over 25 years of experience in the financial services industry. Ralph is currently registered with Piper Sandler & Co. and is located in Greenwich, CT. Ralph has held previous positions at Weeden & Co. L.P., Warburg Dillon Read LLC, SBC Warburg Dillon Read Inc. and SBC Warburg, Inc. Ralph holds several industry licenses, including Series 7, Series 55, Series 57TO and SIE. Ralph is also a Registered Representative for Piper Sandler & Co. in the State of Connecticut. Ralph is dedicated to providing investment advice to clients, with a focus on portfolio management for businesses and analytics/public finance 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.
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
CT
08/02/2019 - Present
Piper Sandler & Co. (Greenwich CT)
CT
06/08/1999 - 08/02/2019
WEEDEN & CO.L.P. (GREENWICH CT)
NY
06/29/1998 - 06/04/1999
WARBURG DILLON READ LLC (NEW YORK NY)
CT
09/02/1997 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
03/06/1997 - 09/02/1997
SBC WARBURG, INC. (NEW YORK NY)
BC
Issued 05/09/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/05/1997
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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