Ronald K. Allen
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 Keith Allen was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1985. Ronald had worked at 11 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
December 14, 1998 - April 25, 2000
MONY SECURITIES CORPORATION
October 22, 1997 - December 9, 1998
FIRST COLONIAL SECURITIES
July 10, 1995 - October 31, 1997
MEYERS POLLOCK ROBBINS, INC.
September 1, 1994 - June 22, 1995
LEGG MASON WOOD WALKER, INCORPORATED
August 20, 1994 - November 29, 1994
MERIDIAN SECURITIES, INC.
January 3, 1994 - September 1, 1994
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
June 25, 1993 - October 28, 1993
MARCUS, STOWELL & BEYE, INC.
June 25, 1993 - August 20, 1994
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
November 27, 1990 - June 7, 1993
MARCUS, STOWELL & BEYE, INC.
November 27, 1990 - June 7, 1993
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
April 26, 1988 - December 18, 1990
SCHAEFER SECURITIES, INC.
July 8, 1986 - April 5, 1988
UNDERWOOD, NEUHAUS & CO., INCORPORATED
December 17, 1985 - May 8, 1986
MORGAN KEEGAN & COMPANY, LLC
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
MONY SECURITIES CORPORATION
CRD#: 4386 / SEC#: , 8-15287
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONY FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| BLITZ, HARVEY EUGENE | DIRECTOR | |
| COOLEY, JILL DIANE | CHIEF OPERATING OFFICER; DIRECTOR | 4251752 |
| DANE, EDWARD HAMBLETON | PRESIDENT; DIRECTOR | 2261769 |
| DZIADZIO, RICHARD | DIRECTOR | 4362519 |
| GODOFSKY, MARK DAVID | FINANCIAL PRINCIPAL | 2882741 |
| JONES, ROBERT SEYMOUR JR | DIRECTOR | 261712 |
| ODONNELL, LESLIE TANNER | AML COMPLIANCE OFFICER | 2189109 |
| OLSON, ANTHONY PAUL | CHIEF COMPLIANCE OFFICER | 801048 |
| WRIGHT, ROBERT OAKLEY JR | CHAIRMAN OF THE BOARD; DIRECTOR | 1620043 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
