Ronald L. Bauer
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 Lee Bauer was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1973. Ronald had worked at 8 firms and has passed the Series 63, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2012 - December 31, 2013
FORTUNE FINANCIAL SERVICES, INC.
July 16, 2002 - December 31, 2011
FORTUNE FINANCIAL SERVICES, INC.
October 29, 1992 - July 15, 2002
CINCINNATI ANALYSTS, INC.
November 1, 1990 - November 3, 1992
MARINER FINANCIAL SERVICES, INC.
November 15, 1984 - September 4, 1990
VESTAX SECURITIES CORPORATION
March 8, 1984 - December 3, 1984
WORLD CAPITAL BROKERAGE, INC.
May 14, 1980 - October 1, 1982
WORLD CAPITAL BROKERAGE, INC.
January 14, 1977 - July 6, 1979
PROVIDENT MARKETING CORPORATION
November 17, 1976 - January 14, 1977
PLA SECURITIES CORPORATION
March 7, 1973 - August 6, 1976
WEST SHORE SECURITIES
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
Series 1
Date: 3/3/1973
Registered Representative ExaminationSeries 00
Date: 10/20/1973
General Securities Principal ExaminationCurrent Firm
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
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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