Ron Rubenstein
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.
Ron Rubenstein, who also goes by Ronald Wolff Rubenstein, was a registered financial professional .
Ron is a previously registered financial professional and started their career in finance in 1992. Ron had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2012 - January 16, 2020
INVESTEC SECURITIES (US) LLC
October 14, 2009 - January 31, 2012
EVOLUTION SECURITIES US INC.
May 1, 2000 - October 7, 2008
CITIGROUP GLOBAL MARKETS INC.
July 21, 1997 - May 1, 2000
SCHRODER & CO. INC.
January 1, 1996 - July 29, 1997
BARCLAYS CAPITAL INC.
April 9, 1992 - January 1, 1996
BARCLAYS DE ZOETE WEDD INCORPORATED
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
Current Firm
INVESTEC SECURITIES (US) LLC
CRD#: 138421 / SEC#: , 8-67162
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTEC USA HOLDINGS CORP. | SOLE MEMBER | |
| GREEN, JONATHAN EVAN | GENERAL COUNSEL, MANAGER AND DIRECTOR | 7964267 |
| HADZIC, EMINA | CHIEF COMPLIANCE OFFICER (08/2025), CORPORATE SECRETARY (05/2022) | 6316232 |
| NAROV, STEVE | CHIEF FINANCIAL OFFICER, FINOP, PFO, POO, BRANCH OFFICE MANAGER AND GENERAL SECURITIES PRINCIPAL | 3060331 |
| ROSENBLUM, SCOTT S. | NON-EMPLOYEE DIRECTOR | 4251370 |
| SUMNER, NOEL JUSTIN | NON-EMPLOYEE DIRECTOR | 7448843 |
| VAN DER WALT, MARLE | NON-EMPLOYEE DIRECTOR | 7694588 |
Red Flags
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