Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ralph? Claim Your ProfileRalph Milburn Jones has over 40 years of experience in the financial services industry. Ralph is currently registered with Oppenheimer & Co. Inc. as a Registered Representative and Investment Advisor Representative. Ralph has previously been registered with UBS Financial Services Inc., Piper Jaffray & Co., RBC Dain Rauscher Inc., Wedbush Morgan Securities Inc., and Newhard, Cook & Co. Incorporated. Ralph has a wide range of experience in the financial services industry, including investment advisory, securities sales, and supervision. Ralph is currently licensed in 23 states and holds Series 63, 65, 7, 8, 9, and 10 licenses.
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.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CO
11/13/2009 - Present
Oppenheimer & CO. INC. (DENVER CO)
CO
08/12/2006 - 10/28/2009
UBS FINANCIAL SERVICES INC. (DENVER CO)
CO
05/27/2005 - 08/12/2006
PIPER JAFFRAY & CO. (DENVER CO)
NY
11/18/1998 - 06/09/2005
RBC DAIN RAUSCHER INC. (NEW YORK NY)
CA
11/24/1987 - 11/12/1998
WEDBUSH MORGAN SECURITIES INC. (LOS ANGELES CA)
NA
01/02/1979 - 11/28/1987
NEWHARD, COOK & CO. INCORPORATED
IA
Issued 3/8/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 2/25/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 8/27/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/1978
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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