Unclaimed Profile

Ralph Herbert Ames

CROWELL, WEEDON & CO.·LOS ANGELES, California

SIE, Series 1, Series 9, Series 10, Series 6328 years registeredCROWELL, WEEDON & CO.

624 SO. GRAND AVE., SUITE 2510, LOS ANGELES, CA 90017CRD# 4399Firm CRD# 193

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Ralph Herbert Ames · LOS ANGELES, CA

Registration

CRD #4399 · CROWELL, WEEDON & CO. · 28 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CROWELL, WEEDON & CO.

D.A. DAVIDSON & CO.

Nov 2013 – Jan 2015

CARLSBAD, CA

CROWELL WEEDON & CO.

Nov 2013 – Nov 2013

CARLSBAD, CA

CROWELL, WEEDON & CO.

Dec 1997 – Nov 2013

CARLSBAD, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 9

Series 10

Series 63

Registration record

First registered · December 31, 1997

Years registered · 28

Disclosure History

2018Customer Dispute·Award / Judgment

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

CROWELL, WEEDON & CO.

CRD 193 · SEC 801-67246

AUM

$1.0B

Regulatory assets under management

Employees

150

2,936 client accounts

Services offered by CROWELL, WEEDON & CO.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at CROWELL, WEEDON & CO. →

Introduction

Speak with Ralph Herbert

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Ralph Herbert is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in LOS ANGELES?

Browse all registered financial advisors in LOS ANGELES, California or claim this profile if it's yours.

Browse LOS ANGELES Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Ralph Herbert Ames offer?

Ralph Herbert Ames specializes in Financial Planning, Investment Management, Wealth Management.

What are Ralph Herbert Ames's credentials?

Ralph Herbert Ames is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Ralph Herbert Ames located?

Ralph Herbert Ames is based in LOS ANGELES, California, last registered with CROWELL, WEEDON & CO..

How does Ralph Herbert Ames charge for services?

Ralph Herbert Ames's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CROWELL, WEEDON & CO.?

CROWELL, WEEDON & CO. has approximately 150 employees and manages $1.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →