Ronald L. Major
Professional summary
Ronald Lance Major JR, CFP®, who also goes by Ronald Major, is a registered financial professional currently at CUNA BROKERAGE SERVICES, INC. located in Allison, Iowa.
Ronald is registered as a RR (Registered Representative) and started their career in finance in 1997. Ronald has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ronald Lance Major JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 2021 - Present
CUNA BROKERAGE SERVICES, INC.
December 17, 2013 - February 7, 2020
OSAIC FA, INC.
December 10, 2004 - February 24, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 10, 2004 - July 12, 2013
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 14, 2002 - November 29, 2004
RORER ASSET MANAGEMENT LLC
October 31, 2001 - November 30, 2004
AMG DISTRIBUTORS, INC.
September 14, 2000 - October 15, 2001
MORGAN STANLEY DISTRIBUTION, INC.
December 8, 1997 - September 1, 2000
DELAWARE DISTRIBUTORS, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/2/2021)
Exams
FINRA
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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