Ronald J. Chamberlin

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CRD#: 1099842

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 Jerome Chamberlin was a registered financial professional .

Ronald is a previously registered financial professional and started their career in finance in 1983. Ronald had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 12, 2016 - July 3, 2019

ALPHA CUBED INVESTMENTS, LLC

RIA

CRD#: 159347

IRVINE, CA

Past

March 25, 2002 - September 2, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

IRVINE, CA

Past

March 22, 2002 - September 2, 2016

LPL FINANCIAL LLC

CRD#: 6413

IRVINE, CA

Past

August 29, 1994 - March 26, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 19, 1989 - August 30, 1994

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

July 23, 1986 - June 3, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

March 22, 1983 - July 30, 1986

MORGAN STANLEY DW INC.

CRD#: 7556

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALPHA CUBED INVESTMENTS, LLC

ALPHA CUBED INVESTMENTS, LLC | ALPHA RISK INVESTMENTS, LLC | ALPHA RISK INVESTMENTS

CRD#: 159347 / SEC#: 801-77372

RIA

Registered Investment Advisory firm - (11/15/2012 Approved)

California

Registered Investment Advisory firm - (2/16/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/27/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/28/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/28/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 3

Date: 12/5/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/21/2003

General Securities Principal Examination

Current Firm

ALPHA CUBED INVESTMENTS, LLC

ALPHA CUBED INVESTMENTS, LLC | ALPHA RISK INVESTMENTS, LLC | ALPHA RISK INVESTMENTS

CRD#: 159347 / SEC#: 801-77372

RIA

Registered Investment Advisory firm - (11/15/2012 Approved)

California

Registered Investment Advisory firm - (2/16/2013 Terminated)

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Contact information

Main Address

1124 Bristol St., Costa Mesa, CA 92626

Mailing Address

Phone number

(800) 701-2457

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (4/1/2025)

Regulatory assets under management

Total Number of Accounts	4,786
AUM (Assets Under Management)	$ 3,026,637,539

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.

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Firm Stability Insights

Ronald J. Chamberlin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

PRUDENTIAL EQUITY GROUP, LLC

KIDDER, PEABODY & CO. INCORPORATED

DREXEL BURNHAM LAMBERT INCORPORATED

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

ALPHA CUBED INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/27/1992

Series 63

Date: 3/28/1983

SIE

Date: 9/2/2016

Series 31

Date: 9/28/2005

Series 3

Date: 12/5/1986

Series 7

Date: 3/19/1983

Series 24

Date: 4/21/2003

Current Firm

ALPHA CUBED INVESTMENTS, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALPHA CUBED INVESTMENTS, LLC

TRUST BUT VERIFY

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