Ronald P. Brault
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 Paul Brault, who also goes by Ron Brault, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1991. Ronald had worked at 4 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
August 19, 2009 - October 9, 2019
FINANCIAL STRATEGIES INVESTMENT ADVISOR SERVICES, INC.
July 27, 2009 - January 13, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 7, 1994 - October 27, 2008
ALLIANCEBERNSTEIN INVESTMENTS, INC.
July 31, 1991 - May 12, 1992
MORGAN STANLEY & CO. LLC
Primary Firm SEC Registration
FINANCIAL STRATEGIES INVESTMENT ADVISOR SERVICES, INC.
CRD#: 113526 / SEC#: 801-132837
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
FINANCIAL STRATEGIES INVESTMENT ADVISOR SERVICES, INC.
CRD#: 113526 / SEC#: 801-132837
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 478 |
| AUM (Assets Under Management) | $ 103,895,136 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/07/2025 | ||
| 11/21/2024 | ||
| 09/05/2024 | ||
| 07/22/2024 | ||
| 11/27/2023 |
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.
