Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ralph? Claim Your ProfileRalph Michaels Slocum has been in the financial industry since 1987 and is currently a registered representative with LPL Financial LLC. Ralph has a strong background in both the brokerage and investment advisory fields, having previously worked at RBC Capital Markets Corporation and UBS Financial Services Inc. Ralph is also a registered investment adviser in California and Texas. Ralph Slocum has a strong understanding of the financial markets and is committed to providing his clients with personalized financial advice and services.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Consulting and other non-discretionary advisory services
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.
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CA
08/23/2013 - Present
LPL Financial LLC (SAN LUIS OBISPO CA)
CA
01/09/2009 - 10/07/2010
RBC CAPITAL MARKETS CORPORATION (SAN LUIS OBISPO CA)
CA
12/13/2002 - 01/27/2009
UBS FINANCIAL SERVICES INC. (SAN LUIS OBISPO CA)
NY
08/20/1987 - 12/16/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 07/30/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/09/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/25/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/12/1990
Series 3 - National Commodity Futures Examination
BC
Issued 08/15/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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