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Robert Morgan Ralph

UBS Securities LLC

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About Robert Morgan Ralph

Robert Morgan Ralph is a financial advisor in Boston, Massachusetts. Robert has over 10 years of experience in the financial services industry. Robert is currently registered with UBS Securities LLC. Previously, Robert was employed at State Street Global Markets, LLC and Brown Brothers Harriman & Co.. Robert holds the Series 7, 7TO, 63 and 66 licenses and is registered in all 50 states and Puerto Rico.

Firm Information

Robert Ralph is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Robert Ralph’s Registration & Firm History

MA

09/08/2021 - Present

UBS Securities LLC (BOSTON MA)

MA

10/16/2020 - 08/22/2021

STATE STREET GLOBAL MARKETS, LLC (BOSTON MA)

MA

02/11/2014 - 11/10/2015

STATE STREET GLOBAL MARKETS, LLC (BOSTON MA)

NY

08/14/2008 - 09/10/2012

BROWN BROTHERS HARRIMAN & CO. (NEW YORK NY)

NY

08/31/2007 - 06/06/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/30/2020

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 09/19/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/15/2020

Series 7TO - General Securities Representative Examination

BC

Issued 08/13/2020

SIE - Securities Industry Essentials Examination

BC

Issued 08/30/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Robert Morgan Ralph.
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