Ronald F. Stevenson
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 Francis Stevenson, who also goes by Ron Stevenson, Ronald F Stevenson, Ronald Stevenson, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1988. Ronald had worked at 16 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22 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
February 13, 2013 - October 13, 2014
SCOTTRADE, INC.
November 23, 2009 - March 26, 2010
WALNUT STREET SECURITIES, INC.
November 23, 2009 - March 26, 2010
TOWER SQUARE SECURITIES, INC.
November 23, 2009 - March 26, 2010
NEW ENGLAND SECURITIES
August 6, 2007 - March 26, 2010
MSI FINANCIAL SERVICES, INC.
October 5, 2006 - July 18, 2007
PRUCO SECURITIES, LLC.
August 28, 2002 - May 14, 2003
SANDGRAIN SECURITIES LLC
July 24, 2001 - December 10, 2001
MANULIFE WOOD LOGAN, INC.
June 2, 2000 - June 11, 2001
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
November 3, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 3, 1999 - May 24, 2000
EQUITABLE ADVISORS, LLC
May 3, 1999 - November 15, 1999
PARK AVENUE SECURITIES LLC
October 16, 1996 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
October 1, 1995 - November 22, 1995
VOYA FINANCIAL ADVISORS, INC.
October 13, 1994 - October 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
May 25, 1994 - September 27, 1994
PRUCO SECURITIES, LLC.
January 14, 1988 - May 13, 1994
NYLIFE SECURITIES LLC
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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 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.
