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Ronald C. Pimental

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CRD#: 1776858
RP

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 Charles Pimental, who also goes by Ronald Charles Pimental Jr, was a registered financial professional .

Ronald is a previously registered financial professional and started their career in finance in 1987. Ronald had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 8 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ronald Charles Pimental Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 3, 2017 - March 6, 2019

FIRST EMPIRE SECURITIES, INC.

BD
CRD#: 15129
HAUPPAUGE, NY
Past

November 11, 2014 - November 3, 2017

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

October 1, 2013 - November 13, 2014

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
NEW YORK, NY
Past

December 8, 2005 - August 15, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

June 17, 2005 - November 10, 2005

SEACAP SECURITIES LLC

BD
CRD#: 133994
NEW YORK, NY
Past

November 4, 2003 - November 9, 2005

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY
Past

April 1, 2002 - October 31, 2003

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

February 19, 1988 - April 1, 2002

AUTRANET, LLC

BD
CRD#: 8192
JERSEY CITY, NJ
Past

December 22, 1987 - January 26, 1988

ALEXANDER MICHAELS, INC.

BD
CRD#: 11525

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/30/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/19/2007
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 7/25/1997
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 53
Date: 8/23/1994
Municipal Securities Principal Examination

Current Firm

FE
FIRST EMPIRE SECURITIES, INC.
FIRST EMPIRE SECURITIES, INC.

CRD#: 15129 / SEC#: , 8-31701

BD
Terminated by SEC on 06/29/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 04/03/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST EMPIRE HOLDING CORP.OWNER
ACCOLLA, GINA MARIECHIEF COMPLIANCE OFFICER2564494
BHOLAN, LENA NFINANCIAL PRINCIPAL2809864
NEEDLEMAN, ERIC DAVIDCHIEF EXECUTIVE OFFICER2773431
SCHRICK, FREDERICK RICHARDTREASURER5636488

Disclosures

Regulatory Event1

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.

Company Information

FIRST EMPIRE SECURITIES, INC.

CRD#: 15129

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