Ronald S. Filipowicz
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 Stanley Filipowicz, who also goes by Filipowicz Stanley Ronald Stanley, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1986. Ronald had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 4, Series 9, Series 10, Series 53, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2004 - February 28, 2023
LEUCADIA ASSET MANAGEMENT LLC
May 3, 2004 - February 28, 2023
JEFFERIES LLC
July 1, 2003 - April 29, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 18, 2002 - February 7, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 1, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 1, 1998 - August 30, 2000
COWEN AND COMPANY
November 7, 1995 - July 1, 1998
FINANCIAL SQUARE PARTNERS
May 26, 1994 - October 31, 1995
COMMONWEALTH ASSOCIATES
December 4, 1991 - December 21, 1992
BARCLAYS DE ZOETE WEDD INCORPORATED
January 3, 1989 - December 13, 1989
BARCLAYS INVESTOR SERVICES, INC.
May 20, 1986 - February 16, 1989
PERSHING LLC
Primary Firm SEC Registration
LEUCADIA ASSET MANAGEMENT LLC
CRD#: 121767 / SEC#: 801-61698
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 12
Date: 4/30/1998
NYSE Branch Manager ExaminationCurrent Firm
LEUCADIA ASSET MANAGEMENT LLC
CRD#: 121767 / SEC#: 801-61698
Contact information
SEC notice filing (7 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 16 |
| AUM (Assets Under Management) | $ 4,042,872,103 |
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.
