Ronald Goldfon
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 Goldfon was a registered financial advisor .
Ronald is a previously registered financial advisor and started their career in finance in 1969. Ronald had worked at 8 firms and has passed the Series 63, Series 7, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - July 16, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 13, 2006 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 16, 2006 - July 16, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 13, 2003 - May 13, 2003
NBC SECURITIES, INC.
September 22, 1999 - August 7, 2006
NBC SECURITIES, INC.
January 4, 1999 - September 10, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 1, 1988 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
January 3, 1985 - October 19, 1988
UBS FINANCIAL SERVICES INC.
May 3, 1982 - January 11, 1985
J.C. BRADFORD & CO.
January 29, 1975 - May 10, 1982
A. G. EDWARDS & SONS, INC.
May 12, 1969 - December 2, 1974
HYDINGER & COMPANY INC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
PC
Date: 8/23/1977
AMEX Put and Call ExamSeries 1
Date: 5/7/1969
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
