Ronald C. Gross
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 Clifford Gross, who also goes by Ron Gross, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1983. Ronald had worked at 11 firms and has passed the Series 63, Series 79TO, 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
July 7, 2020 - July 16, 2025
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
June 27, 2017 - January 31, 2019
FIRST EMPIRE SECURITIES, INC.
January 10, 2013 - April 20, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 15, 1998 - December 18, 2012
VINING-SPARKS IBG, LLC
February 27, 1996 - May 17, 1998
VINING-SPARKS IBG, LLC
June 1, 1994 - February 15, 1996
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - June 8, 1994
CITIGROUP GLOBAL MARKETS INC.
March 4, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
April 28, 1988 - June 8, 1990
FIRSTMONEY SECURITIES CORPORATION
August 24, 1987 - February 29, 1988
UBS FINANCIAL SERVICES INC.
June 26, 1984 - June 23, 1987
E. F. HUTTON & COMPANY INC
January 26, 1983 - June 4, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
CRD#: 6950 / SEC#: 801-68820, 8-18971
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUTHSTATE BANK, NATIONAL ASSOCIATION | OWNER | |
| BONONNO, JOSEPH KEMP | CHIEF FINANCIAL OFFICER | 7437632 |
| CHERRY, JAMES CROWELL | CHIEF COMPLIANCE OFFICER | 2870353 |
| HODGES, STUART LEE | SVP, PRESIDENT | 7370566 |
| HOWARD, HEATHER DIANE | CORPORATE SECRETARY/COMPLIANCE OFFICER | 4349745 |
| TUCKER, KIMBERLY SHAY | OPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER | 7370391 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
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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