Ronnie J. Brower
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.
Ronnie James Brower, who also goes by Jim Brower, was a registered financial professional .
Ronnie is a previously registered financial professional and started their career in finance in 1983. Ronnie had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 28 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
August 11, 1997 - May 7, 1998
THE ADVISORS GROUP, INC.
November 18, 1996 - February 11, 1997
MARION BASS SECURITIES CORPORATION
June 14, 1996 - October 4, 1996
PEGASUS CAPITAL INVESTMENTS LC
June 7, 1995 - March 15, 1996
MOREHEAD INVESTMENT ADVISORS, INC.
May 14, 1990 - May 5, 1995
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
October 17, 1988 - May 7, 1998
THE ADVISORS GROUP, INC.
February 21, 1987 - October 27, 1988
VERAVEST INVESTMENTS, INC.
May 9, 1986 - February 18, 1987
BOOTH INVESTMENTS CORP.
June 13, 1984 - April 29, 1986
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 8, 1983 - April 5, 1984
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 28
Date: 10/20/1995
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
THE ADVISORS GROUP, INC.
CRD#: 14035 / SEC#: , 8-28461
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMAL CORPORATION | 100% OWNER OF THE ADVISORS GROUP, INC. | |
| ARITURK, HALUK | DIRECTOR | 1149006 |
| BARRY, MICHELLE ANNE | VICE PRESIDENT, ADVISORY SERVICES | 2744539 |
| GLAZER, DAVID ANDREW | REGIONAL VICE PRESIDENT | 1149058 |
| HARVEY, JAMES EDWARD | HONORARY DIRECTOR | 4424791 |
| HEILMAN, CHERYL LYNN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2114445 |
| HITCHCOCKGEAR, SALENE MARIE | PRESIDENT/CHIEF EXECUTIVE OFFICER | 2590328 |
| NASON, CHARLES TUCKEY | CHAIRMAN OF BOARD OF DIRECTORS | 345075 |
| OSS, STEVEN MICHAEL | FINOP | 4696804 |
| OWENS, BRIAN JOHN | HONORARY DIRECTOR | 354641 |
| SANDS, ROBERT JOHN HAMILTON | DIRECTOR | 1107457 |
| SNYDER, REX BALES | VICE PRESIDENT, CHIEF SUPERVISORY OFFICER | 1061633 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
