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Rondell Eugene Loftin Sr

CRD# 1023848·Registered 1982 - 1989
Previously Registered: Being a previously registered professional could mean that Rondell 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.

Professional Summary

Rondell Eugene Loftin SR, who also goes by Rondell Eugene Loftin, was a registered financial advisor. Rondell was a previously registered financial professional and started their career in finance 1982 - 1989. Rondell had worked at 5 firms and has passed the Series 63, Series 7, Series 52 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Rondell Eugene Loftin

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

44 years in the financial services industry

Current & Past Employments

U.S. ASSOCIATES, INC.·CRD# 13511
BD
August 26, 1986 - February 11, 1989
FIRST INVESTMENT SECURITIES, INC.·CRD# 13459
BD
February 3, 1986 - August 19, 1986
FIRST INVESTMENT SECURITIES, INC.·CRD# 13459
BD
April 18, 1985 - October 25, 1985
COLLINS SECURITIES CORPORATION·CRD# 14203
BD
February 28, 1985 - April 16, 1985
UNITED CAPITAL CORPORATION·CRD# 8268
BD
April 22, 1982 - January 18, 1985
BRITTENUM & ASSOCIATES, INC.·CRD# 7179
BD
January 26, 1982 - April 23, 1982

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Current Firm

UA
U.S. ASSOCIATES, INC.

CLINT BOSHEARS SECURITIES, INC. | U.S. ASSOCIATES, INC.

CRD#: 13511 / SEC#: 8-29347
BD
Expelled by FINRA on 12/19/1991

Contact Information

Established

Arkansas since 03/17/1983

Firm Type

Corporation

Fiscal Year End

June

Documents

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1982About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1985About the Series 7 exam

Series 52 — Municipal Securities Representative Examination

Passed Jan 1982About the Series 52 exam

Series 24 — General Securities Principal Examination

Passed Apr 1986About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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