Ronald J. Coby
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 John Coby was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1988. Ronald had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 79TO, SIE, Series 7, Series 55, Series 28 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
May 5, 2021 - February 21, 2024
LANDOLT SECURITIES, INC.
October 19, 2020 - March 19, 2021
BROKERBANK SECURITIES, INC.
March 8, 2019 - September 10, 2019
BROKERBANK SECURITIES, INC.
October 1, 2018 - February 27, 2019
LAKE STREET CAPITAL MARKETS, LLC
July 27, 2017 - July 26, 2018
PAULSON INVESTMENT COMPANY LLC
January 18, 2012 - May 22, 2012
STRATEGIC FINANCIAL MANAGEMENT, INC.
April 11, 2011 - June 23, 2011
STRATEGIC FINANCIAL MANAGEMENT, INC.
September 23, 2008 - December 31, 2009
STRATEGIC FINANCIAL MANAGEMENT, INC.
April 10, 2008 - June 17, 2008
WYCHICK INVESTMENT ADVISORS, INC.
October 8, 2007 - January 25, 2008
NORTHLAND SECURITIES, INC.
May 21, 2007 - July 23, 2007
A.G.P. / ALLIANCE GLOBAL PARTNERS
July 12, 2006 - May 3, 2007
GVC CAPITAL LLC
October 29, 2003 - October 17, 2005
VIEWPOINT SECURITIES, LLC
December 1, 1993 - December 13, 1994
FIRST COLONIAL SECURITIES
June 21, 1988 - December 1, 1993
PAULSON INVESTMENT COMPANY 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
Series 79TO
Date: 12/31/2018
Investment Banking Registered Representative ExaminationSeries 55
Date: 3/5/2004
Limited Representative-Equity Trader ExamSeries 28
Date: 4/27/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
LANDOLT SECURITIES, INC.
CRD#: 28352 / SEC#: , 8-43645
Contact information
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 105,626,273 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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