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RJ

Ronald W. Jinings

Some features on this profile are disabled
CRD#: 1852470
RJ

Professional summary

Ronald William Jinings was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ronald is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Ronald had worked at 5 firms, which includes PACIFIC WEST SECURITIES INC., SENTRA SECURITIES CORPORATION, DAIN RAUSCHER INCORPORATED, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ron Jinings

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

August 8, 2003 - December 31, 2005

PACIFIC WEST SECURITIES, INC.

BD
CRD#: 6390
RENTON, WA
Past

September 5, 1997 - July 11, 2003

SENTRA SECURITIES CORPORATION

BD
CRD#: 10249
PHOENIX, AZ
Past

June 3, 1994 - August 6, 1997

DAIN RAUSCHER INCORPORATED

BD
CRD#: 7600
Past

July 31, 1993 - June 15, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 20, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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: 7/27/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 8/22/1988
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1988
General Securities Representative Examination

Current Firm

PW
PACIFIC WEST SECURITIES, INC.
P.W. SECURITIES, INC. | PACIFIC WEST SECURITIES, INC.

CRD#: 6390 / SEC#: , 8-17377

BD
Terminated by SEC on 06/24/2012
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Contact information

Main Address
Mailing Address
Phone number
Established
Washington since 10/25/1972
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PACIFIC WEST FINANCIAL GROUP HOLDING CO. L.L.C.100% SHAREHOLDER/HOLDING CO.
FORD, SHANON LANEDIRECTOR, PRESIDENT4151684
FORD, SHANON LANESECRETARY/TREASURER4151684
MCCLOSKEY, MARK THOMASCHIEF COMPLIANCE OFFICER325596
PIZELO, PHILIP ANTHONYDIRECTOR, CEO2429418
SIMS, JEFFREY SCOTTFINANCIAL AND OPERATIONS PRINCIPAL3247374

Disclosures

Regulatory Event9
Arbitration7
Bond1

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

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

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