Stephen J. Ronzello
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.
Stephen Joseph Ronzello, who also goes by Stephen Ronzello, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1992. Stephen had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2025 - January 2, 2026
M HOLDINGS SECURITIES, INC.
September 4, 2008 - October 15, 2014
WADDELL & REED
September 4, 2008 - October 15, 2014
WADDELL & REED
October 20, 2004 - October 2, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - October 2, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 6, 2004 - October 20, 2004
QUICK & REILLY, INC.
October 6, 2004 - October 20, 2004
QUICK & REILLY, INC.
April 9, 2002 - October 11, 2004
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - October 11, 2004
CITIGROUP GLOBAL MARKETS INC.
October 5, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
June 5, 1992 - July 29, 1992
CHELSEA STREET SECURITIES, INC.
Primary Firm SEC Registration
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
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 7TO
Date: 4/21/2025
General Securities Representative ExaminationCurrent Firm
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M FINANCIAL HOLDINGS INCORPORATED | EQUITY OWNER | |
| HANEY-JACKSON, LAURA ELIZABETH | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 4771801 |
| LUDWIG, STEVEN CHARLES | CHIEF COMPLIANCE OFFICER | 2440911 |
| ROGERS, MARIA RENEE | PRINCIPAL FINANCIAL OFFICER | 2442526 |
| SCHOONMAKER, MICHAEL SKI | CHIEF EXECUTIVE OFFICER | 2408456 |
Regulatory assets under management
| Total Number of Accounts | 8,234 |
| AUM (Assets Under Management) | $ 4,078,516,284 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/10/2025 | ||
| 11/13/2024 | ||
| 08/28/2023 |
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.
