Ronald J. Ormonde
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 Joseph Ormonde was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1982. Ronald had worked at 7 firms and has passed the Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2018 - December 31, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 23, 2009 - October 30, 2018
FORESTERS EQUITY SERVICES, INC.
March 24, 2008 - June 18, 2009
EQUITY SERVICES, INC.
July 23, 2007 - March 12, 2008
INSPHERE SECURITIES, INC.
February 7, 2003 - August 9, 2007
EQUITY SERVICES, INC.
June 30, 1989 - December 31, 2002
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 8, 1987 - May 27, 1987
PTX SECURITIES, LLC
February 12, 1985 - January 20, 1989
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 11, 1982 - February 1, 1984
METROPOLITAN LIFE INSURANCE COMPANY
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
Series 6TO
Date: 12/18/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
