Ronald L. Gross
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 Lawrence Gross, who also goes by Ron Gross, Ronald L Gross, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1985. Ronald had worked at 9 firms and has passed the Series 63 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
September 19, 2003 - June 2, 2005
MOLONEY SECURITIES CO., INC.
January 12, 2001 - October 14, 2003
KENNY SECURITIES CORP.
February 21, 1997 - October 15, 1998
HILLTOP SECURITIES INC.
July 31, 1995 - February 11, 1997
JOHNSON RESEARCH & CAPITAL INCORPORATED
June 30, 1994 - June 27, 1995
PRUDENTIAL EQUITY GROUP, LLC
April 19, 1990 - July 11, 1994
PAULI & COMPANY, INC
May 27, 1988 - April 17, 1989
B.C. CHRISTOPHER SECURITIES CO.
October 9, 1986 - June 6, 1988
M.S. KERNS INVESTMENTS, INC.
March 27, 1985 - September 19, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
MOLONEY SECURITIES CO., INC.
CRD#: 38535 / SEC#: 801-64722, 8-48326
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIAR GREEN HOLDINGS, INC. | OWNER | |
| CORRIGAN, BRIAN PATRICK | INVESTOR/DIRECTOR | 4258969 |
| HANCOCK, DONALD RALPH | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHAIRMAN | 828811 |
| HOLOWATUK, WILLIAM JAMES | DIRECTOR OF COMPLIANCE | 6107023 |
| HUME, SCOTT ALLEN | INVESTOR/DIRECTOR | 2894512 |
| MEDLEY, JOSEPH RONALD JR | INVESTOR/DIRECTOR | 2619119 |
| MOLONEY, EDWARD JOHN JR | PRESIDENT, OFFICER/DIRECTOR | 3188341 |
| ROSEMAN, JEFFREY PATRICK | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL & VP | 6296481 |
| STEEL, GEORGE DONALD | INVESTOR/DIRECTOR | 716992 |
| WIESER, RYAN MATHEW | VICE PRESIDENT, DIRECTOR OF OPERATIONS, CHIEF OPERATING OFFICER/DIRECTOR | 4940639 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
