Neil M. Ronga
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.
Neil Michael Ronga JR, who also goes by Neil M Ronga Jr, Neil M Ronga, Neil Ronga, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1992. Neil had worked at 12 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
July 23, 2010 - September 8, 2014
LEGEND SECURITIES, INC.
March 17, 2009 - July 8, 2010
J.P. TURNER & COMPANY, L.L.C.
June 15, 2005 - April 11, 2007
J.P.R. CAPITAL CORP.
December 11, 2002 - November 2, 2004
AXIOM CAPITAL MANAGEMENT, INC.
December 14, 2000 - February 15, 2001
WINDSOR STREET CAPITAL, LP
May 14, 1996 - December 15, 1998
R.D. WHITE & CO., INC.
February 14, 1995 - May 2, 1996
A.S. GOLDMEN & CO., INC.
January 10, 1995 - February 23, 1995
DICKINSON & CO.
November 4, 1994 - April 25, 1995
ROBERT TODD FINANCIAL CORP.
June 28, 1994 - November 1, 1994
WESTFIELD FINANCIAL CORPORATION
January 5, 1993 - June 8, 1994
THE WELLINGTON GROUP, INC.
November 5, 1992 - December 2, 1992
LEHMAN BROTHERS INC.
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
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
