Ronald R. Liakos
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 Roy Liakos, who also goes by Ron Roy Liakos, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1988. Ronald had worked at 5 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 1998 - October 1, 1998
EISNER SECURITIES, INC.
May 6, 1996 - July 23, 1996
HARRIS SECURITIES, INC.
February 25, 1992 - September 29, 1994
SECURITIES AMERICA, INC.
May 4, 1989 - August 23, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 20, 1988 - April 17, 1989
LUX INVESTOR SERVICES CORPORATION
February 24, 1988 - April 17, 1989
LUX INVESTOR SERVICES 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
EISNER SECURITIES, INC.
CRD#: 40585 / SEC#: , 8-49084
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| 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.
