Ronald C. Ervin
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 Christopher Ervin, CFP®, who also goes by Chris Ervin, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1989. Ronald had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2007 - April 4, 2022
MISSIONSQUARE RETIREMENT
March 13, 2007 - April 4, 2022
MISSIONSQUARE INVESTMENT SERVICES
June 13, 2006 - March 6, 2007
CITIGROUP GLOBAL MARKETS INC.
June 13, 2006 - March 6, 2007
CITIGROUP GLOBAL MARKETS INC.
October 31, 2005 - March 31, 2006
METROPOLITAN LIFE INSURANCE COMPANY
October 31, 2005 - March 31, 2006
MSI FINANCIAL SERVICES, INC.
April 23, 2003 - April 10, 2006
VALIC FINANCIAL ADVISORS, INC.
October 3, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
October 3, 2000 - April 10, 2006
VALIC FINANCIAL ADVISORS, INC.
April 3, 2000 - October 5, 2000
LPL FINANCIAL LLC
May 19, 1998 - March 31, 2000
VALIC FINANCIAL ADVISORS, INC.
June 7, 1989 - March 31, 2000
THE VARIABLE ANNUITY MARKETING COMPANY
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
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
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
