Ronald Browning-smith

BACKSTROM MCCARLEY BERRY & CO.

San Francisco, CA 94111

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CRD#: 1235944

Professional summary

Ronald Browning-smith SR, who also goes by Ronald Browning-smith, Ronald B Smith, Ronald Browning Smith Sr, is a registered financial professional currently at BACKSTROM MCCARLEY BERRY & CO., LLC located in San Francisco, California.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 1984. Ronald has worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 50 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ronald Browning-Smith | Ronald B Smith | Ronald Browning Smith Sr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald Browning-smith SR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 29, 2005 - Present

BACKSTROM MCCARLEY BERRY & CO., LLC

Office #1: 130 Battery Street, Suite 560, San Francisco, CA 94111Office #2: 130 Battery Street, Suite 560, San Francisco, CA 94111

CRD#: 124503

San Francisco, CA

Past

June 3, 2005 - November 8, 2005

JACKSON SECURITIES LLC

CRD#: 19897

ATLANTA, GA

Past

February 21, 2003 - June 8, 2005

BEREAN CAPITAL INCORPORATED

CRD#: 24915

CHICAGO, IL

Past

September 22, 1999 - March 17, 2003

THE CHAPMAN CO.

CRD#: 19178

COLUMBIA, MD

Past

November 18, 1988 - September 24, 1999

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

Past

February 1, 1988 - November 18, 1988

ROWLAND, SIMON & CO.

CRD#: 21666

Past

April 1, 1985 - February 1, 1988

I.M. SIMON & CO., INC.

CRD#: 418

Past

March 21, 1984 - March 29, 1985

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(11/29/2005)

Indiana
(11/29/2005)

Michigan
(11/29/2005)

Missouri
(11/29/2005)

Pennsylvania
(8/10/2016)

Exams

State Security Law Exam

Series 63

Date: 2/24/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 50

Date: 9/7/2017

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BACKSTROM MCCARLEY BERRY & CO., LLC

CRD#: 124503 / SEC#: , 8-65679

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

130 Battery Street, Suite 560, San Francisco, CA 94111

Mailing Address

130 Battery Street, Suite 560, San Francisco, CA 94111

Phone number

(415) 392-5505

Established

California since 06/04/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (24 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MCCARLEY, VINCENT ELLIS	CEO, MUNICIPAL PRINCIPAL, CCO	1711341
LEUNG, FRANK SIKWING	CFO, FINOP	2145757

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Ronald Browning-smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald Browning-smith SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

JACKSON SECURITIES LLC

BEREAN CAPITAL INCORPORATED

THE CHAPMAN CO.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

ROWLAND, SIMON & CO.

I.M. SIMON & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 2/24/1984

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 50

Date: 9/7/2017

Series 7

Date: 2/18/1984

FINRA

Current Firm

BACKSTROM MCCARLEY BERRY & CO., LLC

Contact information

FINRA licenses (24 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BACKSTROM MCCARLEY BERRY & CO., LLC

TRUST BUT VERIFY

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