R T. Clemmenson
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.
R Thomas Clemmenson, who also goes by Ronald T Clemmenson, Ronald Thomas Clemmenson, Thomas Clemmenson, was a registered financial professional .
R is a previously registered financial professional and started their career in finance in 1986. R had worked at 7 firms and has passed the Series 63, Series 3, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2007 - February 5, 2013
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
February 3, 2005 - May 29, 2007
THE WINDMILL GROUP, INC.
May 24, 2000 - October 1, 2003
TRANSMARKET GROUP L.L.C.
September 16, 1999 - May 15, 2000
THE WINDMILL GROUP, INC.
June 13, 1995 - December 31, 1997
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 21, 1994 - March 28, 1995
THE WINDMILL GROUP, INC.
March 5, 1991 - April 30, 1992
MORGAN STANLEY MARKET PRODUCTS INC.
July 27, 1988 - April 30, 1992
MORGAN STANLEY & CO. LLC
September 24, 1986 - August 15, 1988
JPMSI
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
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
CRD#: 30107 / SEC#: , 8-44744
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE STREET GLOBAL ADVISORS, INC. | PARENT CORPORATION | |
| ALBERICI, MARK F | DIRECTOR | 3223458 |
| AMOA, APEAWUSU K | DIRECTOR | 7711546 |
| BONDS MAZZA, ALLISON HATHHORN | PRESIDENT AND DIRECTOR | 4439495 |
| CORBETT, TIMOTHY PAUL | DIRECTOR | |
| FERRARELLI, JAMES | DIRECTOR | 6961735 |
| LAPORTA, JEANNE MARIE | DIRECTOR & CHAIRWOMAN | 5946908 |
| TENORIO, EDITHA V | CHIEF FINANCIAL OFFICER | 6755490 |
| TRABUCCO, MARK RUSSELL | CHIEF COMPLIANCE OFFICER | 4856280 |
| TUCKER, JOHN A | DIRECTOR | 7000761 |
Disclosures
| Regulatory Event | 17 |
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.
