Ronald D. Mass
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 Dean Mass was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1988. Ronald had worked at 6 firms and has passed the Series 63, Series 65, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2013 - December 31, 2025
ALMITAS CAPITAL LLC
December 1, 2005 - December 31, 2006
FRANKLIN DISTRIBUTORS, LLC
September 30, 2003 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
August 11, 2001 - September 30, 2003
HOWARD WEIL INCORPORATED
October 16, 1996 - August 11, 2001
ARROYO SECO, INC.
February 23, 1988 - December 12, 1990
CREDIT SUISSE SECURITIES (USA) LLC
Primary Firm SEC Registration
ALMITAS CAPITAL LLC
CRD#: 166705 / SEC#: 801-108002
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
ALMITAS CAPITAL LLC
CRD#: 166705 / SEC#: 801-108002
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 985,661,608 |
Red Flags
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