Ronald P. Herrmann
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 Paul Herrmann, CFP®, who also goes by Ron Herrmann, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1988. Ronald had worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2015 - November 16, 2020
EQUITABLE DISTRIBUTORS, LLC
September 30, 2015 - November 17, 2020
EQUITABLE ADVISORS, LLC
January 3, 2013 - September 11, 2015
PRUCO SECURITIES, LLC.
March 13, 1997 - January 3, 2013
HIMCO DISTRIBUTION SERVICES COMPANY
August 16, 1995 - March 21, 1997
OSAIC FS, INC.
August 31, 1994 - June 12, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 31, 1994 - June 12, 1995
SIGNATOR INVESTORS, INC.
September 15, 1988 - April 28, 1994
METROPOLITAN LIFE INSURANCE COMPANY
September 15, 1988 - April 28, 1994
MSI FINANCIAL SERVICES, INC.
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
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
Red Flags
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