Ronald L. Riggs
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 Riggs was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1986. Ronald had worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2006 - July 2, 2018
ALLEN & COMPANY OF FLORIDA, LLC
July 21, 1994 - July 2, 2018
ALLEN & COMPANY OF FLORIDA, LLC
November 22, 1988 - November 16, 1989
FIRST ENCO SECURITIES, INC.
July 28, 1986 - November 16, 1989
FIRST ENCO SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ALLEN & COMPANY OF FLORIDA, LLC
CRD#: 25 / SEC#: 801-57874, 8-9877
Contact information
Disclosures
| Regulatory Event | 4 |
Red Flags
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