Ronald J. Gogul
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 Jan Gogul was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1982. Ronald had worked at 9 firms and has passed the Series 63, Series 7, Series 4 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
July 2, 1993 - December 14, 1993
INDEPENDENCE CAPITAL CO., INC.
November 28, 1988 - June 26, 1991
ROBERT THOMAS SECURITIES, INC
May 5, 1987 - December 17, 1988
OBERWEIS SECURITIES, INC.
May 15, 1985 - August 17, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
April 10, 1985 - June 14, 1988
LINCOLN NATIONAL PENSION INSURANCE COMPANY
April 10, 1985 - February 8, 1989
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 10, 1985 - February 8, 1989
OSAIC FA, INC.
June 3, 1983 - March 15, 1985
PRESCOTT, BALL & TURBEN, INC.
July 7, 1982 - July 22, 1983
ANCHOR NATIONAL FINANCIAL SERVICES, 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
Current Firm
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: , 8-41331
Contact information
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 295 |
| AUM (Assets Under Management) | $ 99,922,105 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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