Ronald V. Nuzzolo
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 Vincent Nuzzolo JR was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1991. Ronald had worked at 7 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 1997 - February 13, 1998
JOSEPH STEVENS & CO., INC.
April 4, 1997 - June 3, 1997
FAS WEALTH MANAGEMENT SERVICES, INC.
December 13, 1995 - April 8, 1997
ARGENT SECURITIES, INC.
March 21, 1994 - December 20, 1995
H.J. MEYERS & CO., INC.
September 9, 1993 - March 26, 1994
A.S. GOLDMEN & CO., INC.
November 11, 1991 - October 5, 1993
J.W. BARCLAY & CO., INC.
October 17, 1991 - November 8, 1991
GKN SECURITIES CORP.
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 62
Date: 10/15/1991
Corporate Securities Limited Representative ExaminationCurrent Firm
JOSEPH STEVENS & CO., INC.
CRD#: 35459 / SEC#: , 8-46901
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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