Ronald E. Rowland
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 Earl Rowland, who also goes by Ron Rowland, Ronald Rowland, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1994. Ronald had worked at 2 firms and has passed the Series 65 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2015 - July 11, 2017
FLEXIBLE PLAN INVESTMENTS LTD
June 3, 1994 - October 12, 2015
CAPITAL CITIES ASSET MANAGEMENT INC
Primary Firm SEC Registration
FLEXIBLE PLAN INVESTMENTS LTD
CRD#: 110762 / SEC#: 801-21073
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 2
Date: 5/3/1991
Non-Member General Securities ExaminationCurrent Firm
FLEXIBLE PLAN INVESTMENTS LTD
CRD#: 110762 / SEC#: 801-21073
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 12,557 |
| AUM (Assets Under Management) | $ 1,536,363,862 |
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.
