AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RG

Ronald J. Giovino

Some features on this profile are disabled
CRD#: 2236071
RG

Professional summary

Ronald Joseph Giovino JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ronald is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Ronald had worked at 6 firms, which includes LEGEND EQUITIES CORPORATION, GWN SECURITIES INC., MONEY CONCEPTS CAPITAL CORP, OSAIC WEALTH INC., PRIME CAPITAL SERVICES INC., LEGEND CAPITAL CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ronald Joseph Giovino

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 27, 2013 - November 15, 2013

LEGEND EQUITIES CORPORATION

BD
CRD#: 30999
CLEARWATER, FL
Past

March 29, 2004 - July 8, 2021

GWN SECURITIES INC.

BD
CRD#: 128929
Clearwater, FL
Past

July 21, 2003 - August 31, 2004

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
PALM BEACH GARDENS, FL
Past

December 2, 2002 - July 2, 2003

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

September 17, 2001 - December 2, 2002

PRIME CAPITAL SERVICES, INC.

BD
CRD#: 18334
POUGHKEEPSIE, NY
Past

January 1, 1994 - September 5, 2001

LEGEND EQUITIES CORPORATION

BD
CRD#: 30999
PALM BEACH GARDENS, FL
Past

May 7, 1992 - January 1, 1994

LEGEND CAPITAL CORPORATION

BD
CRD#: 4149
PALM BEACH GARDENS, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/30/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/30/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/21/1994
Investment Company Products/Variable Contracts Principal Examination

Current Firm

LE
LEGEND EQUITIES CORPORATION
LEGEND EQUITIES CORPORATION | THE LEGEND GROUP'S PROFESSIONAL ATHLETES RETIREMENT SERVICES | THE LEGEND GROUP'S PROFESSIONAL ATHLETES FINANCIAL SERVICES | THE LEGEND GROUP

CRD#: 30999 / SEC#: , 8-45286

BD
Terminated by SEC on 03/14/2017
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/04/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LEGEND GROUP HOLDINGS, LLCDIRECT OWNER
ANTONIADES, ADAM NICHOLASDIRECTOR2261744
BONNEAU, CATHERINE MCCORMACKDIRECTOR2899706
GINGRICH, MIRALDAVICE PRESIDENT1985431
GRIFFEY, ENA MARIAFINOP4460199
HALEY, BRIAN JOSEPHCHIEF COMPLIANCE OFFICER4361815
MEHROTRA, SHASHIDIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT2640875
RUDNICK, REGINA MARYVICE PRESIDENT2373530
SHELSON, MARK PAULTREASURER1819252

Disclosures

Regulatory Event6
Arbitration1

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.

Company Information

LEGEND EQUITIES CORPORATION

CRD#: 30999

TRUST BUT VERIFY

Monitor Ronald Giovino

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics