Ronald F. Roybal
Professional summary
Ronald Francis Roybal is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in San Diego, California and CETERA WEALTH SERVICES, LLC located in San Diego, California.
Ronald is registered as a RR (Registered Representative) and started their career in finance in 1989. Ronald has worked at 19 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ronald Francis Roybal's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 29, 2008 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101July 29, 2008 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 655 W Broadway12th Fl, San Diego, CA 92101July 29, 2008 - Present
CETERA ADVISORS LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101February 22, 2016 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101February 22, 2016 - November 9, 2016
VSR FINANCIAL SERVICES, INC.
February 22, 2016 - November 9, 2016
INVESTORS CAPITAL CORP.
February 22, 2016 - December 14, 2016
LEGEND EQUITIES CORPORATION
February 22, 2016 - November 1, 2017
GIRARD SECURITIES, INC.
February 22, 2016 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
February 22, 2016 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
July 29, 2008 - February 1, 2010
VOYA FINANCIAL ADVISORS, INC.
September 19, 2005 - June 13, 2008
DIRECTED SERVICES LLC
May 30, 2001 - June 13, 2008
SLD AMERICA EQUITIES, INC.
November 25, 1998 - August 22, 2000
CETERA ADVISORS LLC
August 31, 1998 - October 28, 1998
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 29, 1997 - August 11, 1998
METROPOLITAN LIFE INSURANCE COMPANY
August 29, 1997 - August 11, 1998
MSI FINANCIAL SERVICES, INC.
March 7, 1996 - August 11, 1998
PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY
July 22, 1994 - February 26, 1996
PASADENA FUND SERVICES, INC.
October 9, 1989 - January 27, 1992
SCHIELD SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/29/2008)
Exams
FINRA
Current Firm
CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| KRUEGER, RONALD GEORGE | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2651416 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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