Ronald T. Brounes
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 Todd Brounes was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1990. Ronald had worked at 13 firms and has passed the 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
July 15, 2008 - December 17, 2009
KESTRA INVESTMENT SERVICES, LLC
July 12, 2005 - July 19, 2006
USF SERVICES, LLC
July 12, 2005 - July 19, 2006
USF SECURITIES, L.P.
February 23, 2005 - November 15, 2013
PNC MANAGED ACCOUNT SOLUTIONS, INC.
February 11, 2005 - August 12, 2005
FSC SECURITIES CORPORATION
February 11, 2005 - August 12, 2005
FSC SECURITIES CORPORATION
February 10, 2005 - February 11, 2005
ADVANTAGE CAPITAL CORPORATION
February 10, 2005 - February 11, 2005
ADVANTAGE CAPITAL CORPORATION
July 16, 2002 - March 28, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
September 12, 2001 - March 28, 2003
IDS LIFE INSURANCE COMPANY
September 12, 2001 - March 28, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
September 3, 1998 - January 11, 2001
USF SECURITIES, L.P.
April 8, 1996 - November 11, 1996
GRIGSBY & ASSOCIATES, INC.
March 3, 1994 - October 5, 1995
GSC SECURITIES, INC.
February 24, 1994 - October 5, 1995
GOVERNMENT SECURITIES CORPORATION
October 19, 1990 - March 1, 1994
WESTCAP SECURITIES, L.P.
October 19, 1990 - March 1, 1994
WESTCAP GOVERNMENT SECURITIES, 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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
