Ronald F. Perron
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 Francis Perron was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1985. Ronald had worked at 10 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
April 5, 1999 - June 9, 2023
AVANTAX ADVISORY SERVICES
January 30, 1998 - June 9, 2023
AVANTAX INVESTMENT SERVICES, INC.
January 27, 1997 - February 9, 1998
WMA SECURITIES, INC.
February 11, 1995 - October 21, 1996
WOODBURY FINANCIAL SERVICES, INC.
November 10, 1992 - October 7, 1993
PACIFIC CLIFFS CAPITAL, INC.
February 11, 1992 - November 10, 1992
FORTREND SECURITIES, INC.
February 5, 1991 - April 15, 1992
PFS INVESTMENTS INC.
August 25, 1989 - September 7, 1989
FIRST AFFILIATED SECURITIES
April 2, 1986 - August 25, 1989
PFG SECURITIES, INC.
December 17, 1985 - April 10, 1986
SOURCE SECURITIES, INC.
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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