Ronald J. Gard
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 Joe Gard, who also goes by Ronald Joe Sower, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1968. Ronald had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 41, Series 5, PC, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2009 - December 31, 2014
MAPLEWOOD INVESTMENTS, INC.
July 31, 1993 - January 4, 2007
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - January 4, 2007
CITIGROUP GLOBAL MARKETS INC.
July 16, 1979 - July 31, 1993
LEHMAN BROTHERS INC.
January 18, 1978 - July 16, 1979
LOEB PARTNERS
January 19, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
November 12, 1974 - June 18, 1977
ILG SECURITIES CORPORATION
April 19, 1968 - December 16, 1976
BLYTH EASTMAN DILLON & CO. INCORPORATED
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 15
Date: 8/3/1989
Foreign Currency Options ExaminationSeries 41
Date: 5/4/1985
NYSE Allied Member ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 7/11/1979
AMEX Put and Call ExamSeries 1
Date: 4/16/1968
Registered Representative ExaminationSeries 40
Date: 6/21/1977
Registered Principal ExaminationSeries 12
Date: 4/27/1977
NYSE Branch Manager ExaminationCurrent Firm
MAPLEWOOD INVESTMENTS, INC.
CRD#: 103723 / SEC#: , 8-52221
Contact information
FINRA licenses (31 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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