Ronald J. Farrise
Professional summary
Ronald James Farrise is a registered financial professional currently at HENNION & WALSH, INC. located in Parsippany, New Jersey.
Ronald is registered as a RR (Registered Representative) and started their career in finance in 1984. Ronald has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ronald James Farrise's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2009 - Present
HENNION & WALSH, INC.
Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018August 27, 2007 - November 4, 2008
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
June 23, 2003 - July 31, 2007
ADVISORS ASSET MANAGEMENT, INC.
April 22, 1999 - May 21, 2003
PARK AVENUE SECURITIES LLC
July 9, 1996 - May 21, 2003
GUARDIAN INVESTOR SERVICES LLC
February 24, 1995 - May 14, 1996
NYLIFE SECURITIES LLC
February 24, 1995 - May 22, 1996
EAGLE STRATEGIES CORP
January 24, 1994 - November 11, 1994
VAN ECK SECURITIES CORPORATION
June 20, 1991 - November 5, 1993
CITICORP INVESTMENT SERVICES
September 30, 1987 - June 20, 1991
NATHAN & LEWIS SECURITIES, INC.
June 24, 1985 - August 11, 1987
TUCKER ANTHONY INCORPORATED
February 23, 1984 - July 11, 1985
ADVEST, 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
(1/6/2009)
(1/4/2021)
Exams
Series 8
Date: 10/29/1993
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
HENNION & WALSH, INC.
CRD#: 25766 / SEC#: , 8-41988
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENNION, RICHARD | EXECUTIVE VICE PRESIDENT | 1315386 |
| WALSH, WILLIAM WALTER | PRESIDENT | 1174993 |
| FITZSIMMONS, PHILLIP | CHIEF COMPLIANCE OFFICER | 1625889 |
| HENNION, WILLIAM | VICE PRESIDENT | 2048378 |
| KOWALSKI, STEPHEN GEORGE | VICE PRESIDENT | 1919574 |
| MAHN, KEVIN DOUGLAS | MANAGING DIRECTOR | 2519398 |
| WURST, WENDY ANN | FINOP, TREASURER | 1902879 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 6 |
Red Flags
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