Ronald W. Fetters
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 William Fetters, ChFC®, who also goes by Rod Fetters, Ron Fetters, Ronald W Fetters, Ronald Williams Fetters, Ronald Fetters, Ronald William Fetters, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1985. Ronald had worked at 21 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2022 - November 15, 2024
LPL FINANCIAL LLC
July 6, 2022 - November 15, 2024
LPL FINANCIAL LLC
June 21, 2018 - July 7, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 2018 - July 7, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 2013 - March 13, 2018
PLANMEMBER SECURITIES CORPORATION
December 17, 2013 - March 13, 2018
PLANMEMBER SECURITIES CORPORATION
July 18, 2013 - December 18, 2013
PRINCIPAL SECURITIES, INC.
May 16, 2013 - December 18, 2013
PRINCIPAL SECURITIES, INC.
August 31, 2007 - May 15, 2013
MSI FINANCIAL SERVICES, INC.
March 15, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 15, 2007 - May 15, 2013
MSI FINANCIAL SERVICES, INC.
September 12, 2003 - January 27, 2006
ONEAMERICA SECURITIES, INC.
January 23, 2002 - September 4, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 26, 2000 - October 19, 2001
SENTINEL FINANCIAL SERVICES COMPANY
June 12, 1997 - July 21, 2000
SIGNATOR FINANCIAL SERVICES, INC.
May 20, 1997 - June 11, 1997
SIGNATOR FINANCIAL SERVICES, INC.
January 31, 1997 - May 22, 1997
OSAIC WEALTH, INC.
January 12, 1996 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
April 26, 1995 - January 23, 1996
LPL FINANCIAL LLC
July 19, 1994 - May 22, 1995
MARKETING ONE SECURITIES, INC.
August 27, 1991 - July 21, 1994
CITISTREET EQUITIES LLC
April 1, 1991 - August 26, 1991
IDS LIFE INSURANCE COMPANY
April 1, 1991 - August 26, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
February 13, 1989 - September 8, 1989
ADVANTAGE CAPITAL CORPORATION
October 7, 1986 - March 26, 1987
MARSHALL DAVIS, INC.
May 19, 1986 - October 13, 1986
PACIFIC GROWTH SECURITIES,INC.
April 17, 1986 - May 8, 1986
FIRST DEVONSHIRE SECURITIES, INC.
January 2, 1985 - March 24, 1986
MICHAEL C. TALLEY & CO., INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
