Richard Nilson Ralston

CRD 7060563 · J.P. Morgan Securities LLC · San Francisco, CA

IA RegisteredBroker

Also appears in the source record as: Richard N Ralston III; Richard N Ralston; Richard Nilson Ralston III; Richard Randolph Ralston III; Richard Ralston

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 7TOSIESeries 66
Registered states (17): Arizona · California · Florida · Illinois · Massachusetts · Minnesota · Nevada · New Jersey · New York · North Carolina · Oregon · Rhode Island · South Carolina · Tennessee · Texas · Utah · Washington
Years in the industry (source record): 6
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: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (6)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
San Francisco, CA · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
San Francisco, CA · BC capacity

start not retrieved → present
Morgan Stanley
San Francisco, CA · IA capacity

Feb 1, 2024 → Jul 10, 2025
Morgan Stanley
San Francisco, CA · BC capacity

Feb 1, 2024 → Jul 10, 2025
First Republic Investment Management, Inc.
San Francisco, CA · IA capacity

Jun 12, 2019 → Aug 17, 2023
First Republic Securities Company, LLC
San Francisco, CA · BC capacity

May 7, 2019 → Aug 17, 2023

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 7060563 ↗ FINRA BrokerCheck record for CRD 7060563 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.