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Detailed Report
RALPH JAMES ERVIN II
RALPH J ERVIN II, RALPH J ERVIN, Ralph Ervin
CRD#: 4431017
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 703 HADDONFIELD BERLIN RD
VOORHEES, NJ 08043
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2015 - 2017 (2 years)2 FIRMS2017 - Present (7 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2008 - 2015 (6 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)2008 - 2008 (<1 year)BPARK AVENUE SECURITIES LLC (CRD# 46173)2005 - 2007 (2 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2002 - 2005 (2 years)IANORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2011 - 2015 (3 years)
Disclosure(s)
View By:
11/13/2015
Financial
Final
License(s)

State Registrations

B
Connecticut 10/11/2017
IA
New Jersey 10/10/2017
B
Delaware 10/10/2017
B
New York 10/12/2017
B
District of Columbia 10/11/2017
B
Pennsylvania 10/10/2017
B
Florida 10/9/2017
B
Rhode Island 10/10/2017
B
Maryland 10/10/2017
IA
Texas 10/4/2017
B
Massachusetts 11/15/2017
B
Texas 10/10/2017
B
New Hampshire 10/11/2017
B
Virginia 10/10/2017
B
New Jersey 10/10/2017

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Indicates the registration is currently inactive due to incomplete Continuing Education or Fingerprint Requirements.
Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
703 HADDONFIELD BERLIN RD, VOORHEES, NJ 08043
Registered with this firm since 10/4/2017
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
703 HADDONFIELD BERLIN RD, VOORHEES, NJ 08043
Registered with this firm since 10/6/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/21/2015 - 01/12/2017 ADVICE AND PLANNING SERVICES (CRD#:20472) PHILADELPHIA, PA
B
 01/20/2015 - 01/12/2017 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) PHILADELPHIA, PA
IA
 11/07/2011 - 01/05/2015 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) MOUNT LAUREL, NJ
B
 10/13/2008 - 01/05/2015 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) MOUNT LAUREL, NJ
B
 06/09/2008 - 09/10/2008 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
B
 11/11/2005 - 11/19/2007 PARK AVENUE SECURITIES LLC (CRD#:46173) SOUTH PLAINFIELD, NJ
B
 11/28/2002 - 08/30/2005 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) MILWAUKEE, WI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.