Ronald K. Mcdaniel
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 Kirk Mcdaniel, who also goes by Ron Mcdaniel, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1997. Ronald had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2019 - May 1, 2022
LPL FINANCIAL LLC
March 20, 2019 - May 1, 2022
LPL FINANCIAL LLC
July 21, 2015 - March 25, 2019
SIMMONS FIRST INVESTMENT GROUP, INC.
July 21, 2015 - March 25, 2019
SIMMONS FIRST INVESTMENT GROUP, INC.
October 1, 2014 - August 5, 2015
INVESTMENT PROFESSIONALS, INC.
October 1, 2014 - August 5, 2015
INVESTMENT PROFESSIONALS, INC.
November 7, 2008 - October 3, 2014
INVEST FINANCIAL CORPORATION
May 1, 2007 - October 3, 2014
INVEST FINANCIAL CORPORATION
September 22, 2006 - April 9, 2007
PFIC ADVISORS, INC.
August 11, 2004 - April 30, 2007
PFIC SECURITIES CORPORATION
July 31, 2003 - August 16, 2004
MORGAN KEEGAN & COMPANY, LLC
April 12, 2001 - August 16, 2004
MORGAN KEEGAN & COMPANY, LLC
September 23, 1998 - April 12, 2001
REGIONS INVESTMENT COMPANY, INC.
July 23, 1997 - October 6, 1998
FIRST COMMERCIAL INVESTMENTS, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 2
Date: 12/3/1986
Non-Member General Securities ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
