Ronald J. Thauer
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 Joseph Thauer was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1988. Ronald had worked at 7 firms and has passed the Series 63 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
May 13, 2013 - February 7, 2014
TJM INVESTMENTS, LLC
November 14, 2011 - April 23, 2012
GAR WOOD SECURITIES, LLC
April 16, 1996 - August 30, 2010
MF GLOBAL INC.
November 30, 1992 - April 17, 1996
MAN INVESTMENTS INC.
April 9, 1990 - April 7, 1994
TRIVE NEW YORK LLC
October 5, 1989 - December 17, 1991
KLEINWORT BENSON NORTH AMERICA INC.
November 2, 1988 - September 14, 1989
COOPER INVESTMENT PARTNERS
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
TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
Contact information
FINRA licenses (34 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| SKWERES, DENISE PAREJKO | FINOP CFO | 5332253 |
| WARD, BARRY DANIEL | MANAGING DIRECTOR | 1584523 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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