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Ronald K. Shimkus

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CRD#: 1104015
RS

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 Kevin Shimkus was a registered financial professional .

Ronald is a previously registered financial professional and started their career in finance in 1983. Ronald had worked at 2 firms and has passed the Series 63, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

July 10, 1991 - July 29, 1993

TEXAS CAPITAL SECURITIES, INC.

BD
CRD#: 25564
Past

March 22, 1983 - October 4, 1985

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

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.

Exams

State Security Law Exam
RR
Series 63
Date: 4/2/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 7/23/1991
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/8/1991
General Securities Representative Examination

Current Firm

TC
TEXAS CAPITAL SECURITIES, INC.
PHOENIX SECURITIES, INC. | TEXAS CAPITAL SECURITIES, INC. | TEXAS CAPITAL SECURITIES | RSCB SECURITIES, INC. | RECKLING, SMETEK, CUNNINGHAM & BUCKLEY, INC.

CRD#: 25564 / SEC#: , 8-41799

BD
Cancelled by SEC on 03/09/1999
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 10/05/1989
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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.

Company Information

TEXAS CAPITAL SECURITIES, INC.

CRD#: 25564

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