Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2017 indicate that Georgia-based Raymond James Financial Services broker/adviser Ralph Smith is involved in pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Smith (CRD# 1709504)
Ralph Smith has spent 29 years in the securities industry and has been registered with Raymond James Financial Services in Valdosta, Georgia since 1999. Previous registrations include Merrill Lynch in New York, New York (1997-1999); the Variable Annuity Marketing Company in Houston, Texas (1995-1997); GR Phelps & Company (1993-1995); FSC Securities Corporation in Atlanta, Georgia (1992-1993); Kavanaugh Securities in Dallas, Texas (1992); Lincoln Financial Advisors Corporation in Fort Wayne, Indiana (1989-1991); the Lincoln National Life Insurance Company in Fort Wayne, Indiana (1989-1991); Kavanaugh Securities (1988-1989); and Southmark Financial Services (1987-1988). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 5, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 3, 1987; Series 7 (General Securities Representative Examination), which he obtained on August 6, 1997; Series 22 (Direct Participation Programs Representative Examination), which he obtained on June 16, 1988; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 13, 1987; and Series 24 (General Securities Principal Examination), which he obtained on March 9, 2000. He is a registered broker and investment adviser with six US states: California, Florida, Georgia, South Carolina, Texas and Virginia.
According to his BrokerCheck report, he has received two pending customer complaints.