Ronald K. Smith
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 Kent Smith was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1981. Ronald had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2016 - October 12, 2021
MISSIONSQUARE RETIREMENT
July 15, 2015 - October 12, 2021
MISSIONSQUARE INVESTMENT SERVICES
July 24, 2014 - July 15, 2015
KESTRA INVESTMENT SERVICES, LLC
January 3, 2013 - July 17, 2014
PRUCO SECURITIES, LLC.
November 14, 2012 - January 3, 2013
HIMCO DISTRIBUTION SERVICES COMPANY
October 20, 2000 - October 29, 2012
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 5, 1997 - December 31, 2000
NATIONWIDE SECURITIES, LLC
July 7, 1995 - April 18, 1997
HORNOR, TOWNSEND & KENT, LLC
January 20, 1987 - April 27, 1995
VERAVEST INVESTMENTS, INC.
September 20, 1985 - September 16, 1987
COREBRIDGE CAPITAL SERVICES, INC.
August 6, 1982 - December 9, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
December 15, 1981 - June 8, 1982
BOARDWALK CAPITAL CORPORATION
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
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
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
