Ronald S. Kramer
Professional summary
Ronald Steven Kramer, who also goes by Ron Kramer, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Memphis, Tennessee.
Ronald is registered as a RR (Registered Representative) and started their career in finance in 1983. Ronald has worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ronald Steven Kramer's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 1, 2007 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 40 S. Main St. Suites 1600, Memphis, TN 38103July 20, 2006 - March 1, 2007
CAPITAL SECURITIES OF AMERICA, INC.
June 17, 2003 - August 2, 2006
HENNION & WALSH, INC.
September 19, 2002 - July 9, 2003
QUICK & REILLY, INC.
December 17, 2001 - September 16, 2002
WELLS FARGO CLEARING SERVICES, LLC
June 13, 1998 - December 14, 2001
JANNEY MONTGOMERY SCOTT LLC
September 19, 1990 - October 4, 1990
FIRST COLONIAL SECURITIES
September 17, 1990 - May 7, 1998
A. G. EDWARDS & SONS, INC.
April 1, 1987 - October 2, 1990
GRUNTAL & CO., L.L.C.
December 4, 1984 - April 9, 1987
J. B. HANAUER & CO.
January 23, 1984 - June 26, 1984
PHILIPS, APPEL & WALDEN, INC.
August 23, 1983 - January 9, 1984
FIRST JERSEY SECURITIES, 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
(2/28/2018)
(3/1/2007)
(9/8/2008)
(3/1/2007)
(12/7/2021)
(5/26/2010)
(9/25/2020)
(11/26/2012)
(5/6/2015)
(2/1/2023)
(8/11/2009)
(5/1/2014)
(11/24/2021)
(3/24/2009)
(3/1/2007)
(3/1/2007)
(4/2/2019)
(3/1/2007)
(3/1/2007)
(11/20/2017)
(3/11/2009)
(8/7/2019)
(3/22/2018)
(9/15/2014)
(2/20/2025)
(10/29/2019)
Exams
FINRA
Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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
B. RILEY WEALTH MANAGEMENT
CRD#: 2543Memphis, TN 38103TRUST BUT VERIFY
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