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RQ

Ronald M. Quigley

MISCHLER FINANCIAL GROUP
Las Vegas, NV 89128
Some features on this profile are disabled
CRD#: 1899540
RQ

Professional summary

Ronald Michael Quigley JR, who also goes by Ron Quigley Jr, Ronald Michael (jr) Quigley, Ronny Quigley Jr, is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in Las Vegas, Nevada.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 2001. Ronald has worked at 9 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ron Quigley Jr | Ronald Michael (jr) Quigley | Ronny Quigley Jr

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) - BD

Click below to view Ronald Michael Quigley JR's CRS (Customer Relationship Summary).

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

Current

December 8, 2011 - Present

MISCHLER FINANCIAL GROUP, INC.

Office #1: 7251 W. Lake Mead Blvd, Suite 300, Las Vegas, NV 89128
BD
CRD#: 37818
Las Vegas, NV
Past

June 25, 2009 - August 3, 2011

ALADDIN CAPITAL LLC

BD
CRD#: 103766
STAMFORD, CT
Past

October 21, 2008 - June 17, 2009

CHATSWORTH SECURITIES LLC

BD
CRD#: 40804
GREENWICH, CT
Past

March 19, 2007 - April 10, 2008

UTENDAHL CAPITAL PARTNERS, L.P.

BD
CRD#: 30115
NEW YORK, NY
Past

March 19, 2007 - April 10, 2008

UTENDAHL CAPITAL GROUP, LLC

BD
CRD#: 113617
NEW YORK, NY
Past

July 5, 2006 - March 15, 2007

CASTLEOAK SECURITIES, LP

BD
CRD#: 125334
NEW YORK, NY
Past

June 8, 2004 - November 23, 2004

KOVACK SECURITIES INC.

BD
CRD#: 44848
FT. LAUDERDALE, FL
Past

April 15, 2002 - July 12, 2002

COLLINS STEWART (SECURITIES) INC.

BD
CRD#: 103746
NEW YORK, NY
Past

May 1, 2001 - July 30, 2001

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arkansas
(3/26/2012)
RR
California
(12/8/2011)
RR
Colorado
(4/20/2023)
RR
Connecticut
(12/8/2011)
RR
District of Columbia
(4/20/2023)
RR
Florida
(4/20/2023)
RR
Idaho
(4/20/2023)
RR
Illinois
(4/20/2023)
RR
Louisiana
(4/20/2023)
RR
Massachusetts
(4/20/2023)
RR
Michigan
(4/20/2023)
RR
Minnesota
(4/20/2023)
RR
Nebraska
(4/20/2023)
RR
Nevada
(1/9/2025)
RR
New York
(8/28/2013)
RR
North Carolina
(3/26/2012)
RR
Texas
(4/20/2023)
RR
Vermont
(6/15/2018)
RR
Wisconsin
(4/20/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 4/16/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/30/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MF
MISCHLER FINANCIAL GROUP, INC.
DILTANA COMPANY, INC. | MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818 / SEC#: , 8-48067

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Mailing Address
19800 Macarthur Blvd. Suite 600, Irvine, CA 92612
Phone number
(949) 720-0640
Established
California since 11/22/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHAMBERLAIN, DEAN ARTHURCHIEF EXECUTIVE OFFICER / DIRECTOR/ CHAIRMAN2262338
HOLMES, DOYLE LAVERNPRESIDENT, CHIEF OPERATION OFFICER-FINOP, CHIEF COMPLIANCE OFFICER, DIRECTOR1556260
GTS FINANCIAL LLCOWNER

Disclosures

Regulatory Event6

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

MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818Las Vegas, NV 89128

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