Ronald J. Hubbard
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 James Hubbard was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1983. Ronald had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 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
November 8, 2012 - December 31, 2017
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
October 13, 2008 - December 31, 2011
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
October 1, 2001 - December 31, 2017
LASALLE ST SECURITIES, L.L.C.
October 23, 1997 - October 1, 2001
EISNER SECURITIES, INC.
July 13, 1994 - November 3, 1997
SAPERSTON FINANCIAL INC.
March 21, 1988 - July 14, 1994
COORDINATED CAPITAL SECURITIES, INC.
January 8, 1986 - March 21, 1988
WINDSOR EQUITY CORPORATION
August 7, 1984 - January 21, 1986
CHARTER SECURITIES CORPORATION
March 9, 1983 - August 21, 1984
AMERICAN EXPRESS FINANCIAL CORPORATION
March 9, 1983 - August 21, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
CRD#: 109701 / SEC#: 801-33422
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
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
CRD#: 109701 / SEC#: 801-33422
Contact information
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,941 |
| AUM (Assets Under Management) | $ 4,346,509,887 |
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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