Ralph has been with the Oyster team since 2010 and brings over 25 years of securities industry experience, with deep expertise in clearing conversions, trade reporting, and regulatory compliance for equity and fixed income securities.
He has led multifaceted teams on large-scale client remediation and clearing platform conversion projects, most recently serving as a subject matter expert in Consolidated Audit Trail (CAT) reporting for large broker-dealers. His work spans CAT and CAIS reporting under SEC Rule 613, mutual fund share class remediation, clearing platform assessments and vendor evaluations, trade suitability review systems, and compliance surveillance system development for national retail brokerage firms. Before Oyster, Ralph held roles at Wachovia Securities as a Vice President Fixed Income and Equity Trader and High Net Worth Client Analyst, and served as a Financial Consultant at The Financial Group of Virginia.
Ralph holds a Bachelor of Arts in Business and Economics from Randolph-Macon College and holds FINRA Series 6, 7, 55, 63, and 66 registrations.
