Mark Richard Ralston

CRD 2327119 · Morgan Stanley · Wichita, KS

IA RegisteredBroker

Also appears in the source record as: Mark R Ralston; Mark Ralston

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (26): Alabama · Arizona · Arkansas · California · Connecticut · Florida · Idaho · Illinois · Iowa · Kansas · Kentucky · Michigan · Minnesota · Missouri · Montana · Nebraska · Nevada · New Jersey · New Mexico · New York · Ohio · Oklahoma · South Dakota · Texas · Washington · Wisconsin
Years in the industry (source record): 33
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (10)

From the source registration record · current first

Morgan StanleyCurrent
Wichita, KS · IA capacity

Jul 27, 2012 → present
Lpl Financial LLC
BD capacity

Jun 11, 2008 → Aug 8, 2012
Lpl Financial LLC
IA capacity

Jun 11, 2008 → Aug 8, 2012
Agh Wealth Advisors, LLC
IA capacity

Apr 21, 2008 → Jul 31, 2012
Mml Investors Services, Inc.
IA capacity

Dec 16, 2003 → Jun 16, 2008
Mml Investors Services, Inc.
BD capacity

Dec 8, 2003 → Jun 16, 2008
Ubs Financial Services Inc.
IA capacity

Feb 25, 1999 → Dec 15, 2003
Ubs Financial Services Inc.
BD capacity

May 15, 1998 → Dec 15, 2003
A. G. Edwards & Sons, Inc.
BD capacity

May 19, 1995 → May 6, 1998
Painewebber Incorporated
BD capacity

Apr 24, 1993 → May 23, 1994

Source & corrections

Where this page comes from

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