Ronald J. Haug
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 Jerome Haug, who also goes by Ron Haug, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1971. Ronald had worked at 7 firms and has passed the Series 63, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2000 - October 10, 2001
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 1, 1997 - January 28, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 1, 1993 - January 1, 1997
PRUDENTIAL RETIREMENT SERVICES, INC.
June 1, 1992 - May 1, 1993
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 13, 1990 - June 1, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 15, 1987 - September 27, 1990
UNUM SALES CORPORATION
June 1, 1971 - September 19, 1977
June 1, 1971 - November 30, 1978
THE MINNESOTA MUTUAL LIFE INSURANCE COMPANY
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: 5/20/1971
Registered Representative ExaminationCurrent Firm
NATIONWIDE INVESTMENT SERVICES CORPORATION
CRD#: 7110 / SEC#: , 8-20254
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONWIDE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| DELEGET, JERROLD BRIAN | CHIEF COMPLIANCE OFFICER | 4364224 |
| JESTICE, KEVIN THOMAS | BOARD DIRECTOR | 5363377 |
| KOTECHA, KUSH VIJAY | BOARD DIRECTOR | 8178085 |
| PEREZ, JUAN JOSE QUEVER | PRESIDENT/BOARD DIRECTOR | 6387381 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
