Ronald A. Stein
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 Anthony Stein, who also goes by Ron Anthony Stein, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1990. Ronald had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 8, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2013 - December 31, 2014
AVANTAX INVESTMENT SERVICES, INC.
April 17, 2008 - December 31, 2008
ECHOTRADE LLC
March 11, 2005 - April 18, 2006
MCL FINANCIAL GROUP, INC.
May 13, 1999 - April 1, 2003
WAMU INVESTMENTS, INC.
January 19, 1999 - May 14, 1999
UBS FINANCIAL SERVICES INC.
April 23, 1996 - November 16, 1998
PFIC SECURITIES CORPORATION
April 13, 1995 - May 7, 1996
CAPITAL SECURITIES OF AMERICA, INC.
September 16, 1993 - April 18, 1994
UBS FINANCIAL SERVICES INC.
April 15, 1991 - November 12, 1992
QUEST CAPITAL STRATEGIES, INC.
July 12, 1990 - December 12, 1990
H.K. FREELAND & COMPANY, 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
Exams
Series 8
Date: 4/13/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AVANTAX INVESTMENT SERVICES, INC.
CRD#: 13686 / SEC#: , 8-29533
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVANTAX WEALTH MANAGEMENT, INC. | SOLE SHAREHOLDER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | GENERAL COUNSEL, SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | PRINCIPAL OPERATIONS OFFICER | 1572778 |
| MACKAY, TODD CHRISTOPHER | DIRECTOR AND VICE PRESIDENT | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER | 5769181 |
| NEARY, JOSEPH DANIEL | DIRECTOR AND VICE PRESIDENT | 2993505 |
| WATTS, ANDREW DAVID | PRESIDENT | 4780880 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 4 |
| Bond | 1 |
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.
