Ronald L. Tomlinson
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 Lee Tomlinson, who also goes by Ron Tomlinson, was a registered financial advisor .
Ronald is a previously registered financial advisor and started their career in finance in 1985. Ronald had worked at 4 firms and has passed the Series 63, Series 65, Series 7, Series 22, Series 8 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2008 - February 26, 2009
MUTUAL SERVICE CORPORATION
December 31, 2001 - May 1, 2006
UBS FINANCIAL SERVICES INC.
August 14, 2000 - May 1, 2006
UBS FINANCIAL SERVICES INC.
June 21, 1988 - August 14, 2000
J.C. BRADFORD & CO.
April 18, 1985 - December 24, 1985
AMRECORP 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
Exams
Series 8
Date: 3/18/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MUTUAL SERVICE CORPORATION
CRD#: 4806 / SEC#: , 8-15313
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP LLC | PARENT COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR/SECRETARY | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER/CHAIRMAN/DIRECTOR | 1821773 |
| MITCHELL, CHRISTOPHER MILLS | CFO/FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 17 |
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.
