Ronald L. Dippel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ronald Leo Dippel was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1981. Ronald had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2009 - August 20, 2012
FULCRUM ADVISORY SERVICES, LLC
November 19, 2009 - August 20, 2012
FULCRUM SECURITIES, LLC
July 13, 2009 - November 10, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
July 13, 2009 - November 10, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
April 1, 2009 - July 8, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 31, 2009 - July 8, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 12, 2009 - January 16, 2009
FULCRUM SECURITIES, LLC
December 22, 2008 - January 16, 2009
FULCRUM ADVISORY SERVICES, LLC
November 1, 1995 - January 12, 2007
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - January 12, 2007
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
November 27, 1981 - April 11, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 12
Date: 2/20/1982
NYSE Branch Manager ExaminationCurrent Firm
FULCRUM ADVISORY SERVICES, LLC
CRD#: 131777 / SEC#: 801-65303
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
