Ronald T. Galen
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 Galen, who also goes by Ron Galen, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1991. Ronald had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
November 15, 2019 - May 18, 2021
WADDELL & REED
November 15, 2019 - May 18, 2021
WADDELL & REED
May 10, 2013 - December 11, 2013
J. W. COLE ADVISORS, INC.
May 10, 2013 - December 13, 2019
J.W. COLE FINANCIAL, INC.
June 25, 2010 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
June 24, 2010 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
January 23, 2003 - June 25, 2010
GOLD COAST SECURITIES, INC.
November 13, 2001 - June 25, 2010
GOLD COAST SECURITIES, INC.
January 23, 1996 - December 5, 2001
FINANCIAL WEST GROUP
May 18, 1995 - December 31, 1995
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 11, 1995 - May 24, 1995
LPL FINANCIAL LLC
December 22, 1992 - January 20, 1995
MONY SECURITIES CORPORATION
March 18, 1991 - April 22, 1991
METLIFE INVESTORS DISTRIBUTION COMPANY
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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
