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RH

Ron K. Harrison

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CRD#: 1785805
RH

Professional summary

Ron Keith Harrison was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ron is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Ron had worked at 4 firms, which includes SCHONFELD SECURITIES LLC, INDIVIDUAL'S SECURITIES LTD., INVESTORS CENTER INC., ALL-TECH DIRECT INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ron Harrison

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

May 8, 1989 - April 30, 1990

SCHONFELD SECURITIES, LLC

BD
CRD#: 23304
Past

December 5, 1988 - May 17, 1989

INDIVIDUAL'S SECURITIES LTD.

BD
CRD#: 7279
Past

August 29, 1988 - December 16, 1988

INVESTORS CENTER, INC.

BD
CRD#: 14670
Past

February 24, 1988 - August 4, 1988

ALL-TECH DIRECT, INC.

BD
CRD#: 13992

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: 3/17/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/1988
General Securities Representative Examination

Current Firm

SS
SCHONFELD SECURITIES, LLC
SCHONFELD SECURITIES INC. | SCHONFELD SECURITIES, LLC

CRD#: 23304 / SEC#: , 8-40148

BD
Terminated by SEC on 01/03/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 11/21/1995
Firm type
Limited Liability Company
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SCHONFELD GROUP HOLDINGS, LLCMEMBER - CLASS A MEMBER
AVANTARIO, JOSEPH RALPHCFO, COO2253805
CAFFREY, MARGARET MCEO3162488
PECKMAN, MARK HARRYGENERAL COUNSEL3264967
WILSON, MICHAEL JAMESCHIEF COMPLIANCE OFFICER2446305

Disclosures

Regulatory Event19
Arbitration1

Red Flags

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Company Information

SCHONFELD SECURITIES, LLC

CRD#: 23304

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