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Ronald Dale Ryan

CRD# 1892681·Registered 1988 - 2014
Previously Registered: Being a previously registered professional could mean that Ronald 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.

Professional Summary

Ronald Dale Ryan was a registered financial advisor. Ronald was a previously registered financial professional and started their career in finance 1988 - 2014. Ronald had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

31 years in the financial services industry

Current & Past Employments

SINCLAIR & COMPANY, LLC·CRD# 133754
BD
Darien, CT
June 14, 2013 - December 17, 2014
REALTIME CAPITAL, INC.·CRD# 104294
BD
Missoula, MT
January 5, 2001 - December 18, 2002
PRUCO SECURITIES, LLC.·CRD# 5685
BD
April 12, 1993 - June 29, 1994
TRINITY GROUP SECURITIES, INC.·CRD# 14388
BD
August 14, 1991 - March 18, 1993
GREEN HILL FINANCIAL SERVICE CORPORATION·CRD# 4882
BD
December 20, 1988 - December 18, 1990

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Current Firm

S&
SINCLAIR & COMPANY, LLC

SINCLAIR & COMPANY, LLC

CRD#: 133754 / SEC#: 8-66769
BD
Terminated by SEC on 02/21/2015

Contact Information

Established

Delaware since 11/12/2004

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
GALVIN, LAURENCE JOHNCEO1904938
GALVIN, KATHLEEN VERONICASHAREHOLDER2811619
THE SM PARC 8-12 TRUSTSHAREHOLDER—
HIPPERT, BRENT EUGENEFINOP, CCO1067611

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 2013About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2014About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 2013About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Oct 2000About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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