Ronald G. Mosby
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 Gadd Mosby, who also goes by Ron Mosby, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1984. Ronald had worked at 5 firms and has passed the Series 63, 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
January 21, 2000 - August 1, 2016
DOMINION INVESTOR SERVICES, INC.
June 11, 1997 - January 10, 2000
WMA SECURITIES, INC.
September 12, 1996 - June 5, 1997
MARINER FINANCIAL SERVICES, INC.
March 8, 1994 - September 13, 1996
WMA SECURITIES, INC.
February 16, 1993 - March 8, 1994
NORTH AMERICAN MANAGEMENT, INC.
November 29, 1988 - December 19, 1992
NORTH AMERICAN MANAGEMENT, INC.
January 17, 1984 - December 6, 1988
PFS INVESTMENTS 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
DOMINION INVESTOR SERVICES, INC.
CRD#: 21548 / SEC#: , 8-39029
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOMINION FINANCIAL SERVICES, INC. | PARENT/SHAREHOLDER | |
| CRISLER, SHIRLEY MAE | IP, SR VICE PRESIDENT, DIRECTOR, CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 2118069 |
| SHROPSHIRE, CAMERON EDWARD III | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, FINOP | 2233524 |
| SMITH, RIX CARLTON | PRESIDENT, CEO, DIRECTOR, GP, MP,OP | 1061442 |
Disclosures
| Regulatory Event | 1 |
| 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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