Ronald G. Mcgee
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 Gene Mcgee was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1987. Ronald had worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2022 - April 9, 2025
FROST INVESTMENT SERVICES
January 19, 2022 - April 9, 2025
FROST BROKERAGE SERVICES, INC.
August 1, 2018 - April 7, 2021
FROST INVESTMENT SERVICES
July 4, 2018 - April 7, 2021
FROST BROKERAGE SERVICES, INC.
May 22, 2001 - November 10, 2001
WELLS FARGO INVESTMENTS, LLC
July 20, 1987 - December 31, 1988
AVANTAX INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
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
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
