Ronald L. Brown
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 Lee Brown, who also goes by Ron Brown, Ronald L Brown, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1990. Ronald had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2001 - February 18, 2014
LOMBARD SECURITIES INCORPORATED
January 27, 2000 - October 19, 2001
FIRST ALLIED SECURITIES, INC.
March 18, 1997 - January 7, 2000
CAPITOL SECURITIES MANAGEMENT, INC.
February 24, 1997 - March 18, 1997
CAPITOL SECURITIES MANAGEMENT, INC.
November 13, 1991 - March 17, 1997
FIRST UNION CAPITAL MARKETS CORP.
September 5, 1990 - November 18, 1991
UBS FINANCIAL SERVICES 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
Current Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
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.
