Ronald D. Weiner
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 D Weiner was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1984. Ronald had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 53 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
April 28, 2017 - March 2, 2020
HIGHTOWER SECURITIES, LLC
October 14, 2016 - March 2, 2020
HIGHTOWER ADVISORS, LLC
September 19, 2006 - February 17, 2011
RDM REAL ESTATE SERVICES LLC
May 13, 2004 - March 3, 2009
PALM HARBOR ADVISORS LLC
November 17, 2000 - April 28, 2017
RDM INVESTMENT SERVICES, LLC
January 3, 1995 - October 17, 2016
RETIREMENT DESIGN & MANAGEMENT INC
February 3, 1992 - February 23, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 27, 1990 - February 4, 1992
CADARET, GRANT & CO., INC.
November 16, 1989 - December 18, 1990
FINANCIAL SQUARE PARTNERS
January 16, 1989 - November 16, 1989
CIBC WORLD MARKETS CORP.
April 5, 1988 - January 28, 1989
JRL CAPITAL CORPORATION
December 24, 1987 - April 5, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
January 17, 1984 - December 24, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
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
HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
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.
