Ronald L. Buchter
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 Leonard Buchter was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1983. Ronald had worked at 28 firms and has passed the Series 63 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
June 19, 2003 - October 16, 2003
CONTINENTAL BROKER-DEALER CORP.
May 22, 2001 - April 14, 2004
THOMAS FLETCHER & COMPANY, INC.
February 4, 2000 - May 30, 2001
THE THORNWATER COMPANY, L.P.
June 1, 1999 - January 24, 2000
COLEMAN & COMPANY SECURITIES, INC.
January 16, 1998 - May 5, 1999
THE THERMOPYLAE GROUP, INC.
May 30, 1997 - January 16, 1998
R.D. WHITE & CO., INC.
January 15, 1997 - May 22, 1997
FIRST CAMBRIDGE SECURITIES CORPORATION
September 9, 1996 - February 6, 1997
GILFORD SECURITIES INCORPORATED
January 15, 1996 - September 19, 1996
COMMONWEALTH ASSOCIATES
May 16, 1995 - December 14, 1995
AUGMENT SECURITIES INC.
December 12, 1994 - April 4, 1995
FIRST MONTAUK SECURITIES CORP.
July 8, 1994 - October 20, 1994
ROYAL PALM INVESTMENTS, LTD.
April 21, 1994 - July 6, 1994
LCP CAPITAL CORP.
January 13, 1994 - March 23, 1994
BARINGTON CAPITAL GROUP, L.P.
April 7, 1993 - December 8, 1993
GKN SECURITIES CORP.
October 16, 1992 - February 5, 1993
THE STAMFORD COMPANY, INC.
October 13, 1992 - October 15, 1992
DUKE & CO., INC.
June 11, 1992 - October 15, 1992
DONALD & CO. SECURITIES INC.
March 9, 1992 - June 19, 1992
FAB SECURITIES OF AMERICA, INC.
October 18, 1991 - March 11, 1992
THE STAMFORD COMPANY, INC.
January 7, 1991 - October 8, 1991
REICH & CO., INC.
July 19, 1990 - January 1, 1991
GLEACHER & COMPANY SECURITIES, INC.
July 11, 1989 - July 23, 1990
D. H. BLAIR & CO., INC.
January 9, 1989 - July 12, 1989
COMMONWEALTH ASSOCIATES
September 14, 1988 - January 12, 1989
LADENBURG THALMANN & CO. INC.
February 1, 1988 - September 20, 1988
GRUNTAL & CO., L.L.C.
August 19, 1987 - February 13, 1988
LEHMAN BROTHERS INC.
February 4, 1986 - August 12, 1987
L. F. ROTHSCHILD & CO. INCORPORATED
April 27, 1985 - February 12, 1986
J.P. MORGAN SECURITIES LLC
July 21, 1983 - March 29, 1985
MORGAN STANLEY DW 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
CONTINENTAL BROKER-DEALER CORP.
CRD#: 14048 / SEC#: , 8-43159
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 15 |
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.
