Ronald J. Luken
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 James Luken was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1992. Ronald had worked at 5 firms and has passed the Series 63, Series 7, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2009 - June 2, 2010
SEAPINE SECURITIES, LLC
August 10, 1995 - June 23, 2009
AUGMENT SECURITIES INC.
February 27, 1995 - July 31, 1995
H G I
July 27, 1994 - October 3, 1994
WALL STREET ACCESS
April 28, 1992 - October 28, 1992
MELBOURNE GSI CORP.
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
Series 8
Date: 7/8/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SEAPINE SECURITIES, LLC
CRD#: 143463 / SEC#: , 8-67568
Contact information
Documents
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.
