Ronald C. Galvin
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 Charles Galvin was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1993. Ronald had worked at 9 firms and has passed the Series 63, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2003 - December 19, 2007
PTI SECURITIES & FUTURES L. P.
May 10, 2001 - December 31, 2002
OPTIONSXPRESS, INC.
March 23, 1999 - May 2, 2001
WALL STREET FINANCIAL GROUP, INC.
January 4, 1999 - February 26, 1999
SECURITIES SERVICE NETWORK, LLC
January 9, 1998 - January 7, 1999
EMMETT A LARKIN COMPANY, INC.
July 24, 1996 - January 6, 1998
MEYERS POLLOCK ROBBINS, INC.
October 10, 1995 - July 9, 1996
WACHOVIA SECURITIES, INC.
September 27, 1995 - October 10, 1995
BANK SOUTH INVESTMENT SERVICES, INC.
February 11, 1993 - August 18, 1995
H.J. MEYERS & CO., 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
PTI SECURITIES & FUTURES L. P.
CRD#: 29275 / SEC#: , 8-44412
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAUGH INC,. | GENERAL PARTNER | |
| NKH CORPORATION | LIMITED PARTNER | |
| DYER, JOHN ROBERT | LIMITED PARTNER | |
| SHAPIRO, MELVIN | LIMITED PARTNER | |
| SPITALNY, ROBIN | LIMITED PARTNER | 1267339 |
| HAUGH, DANIEL JOHN | CHIEF COMPLIANCE OFFICER, FINOP, EXECUTIVE REPRESENTATIVE, AMLCO, ROSFP | 2162854 |
| HAUGH, THOMAS PATRICK | CEO - EXECUTIVE OFFICER | |
| NAJARIAN, JON ARTHUR | LIMITED PARTNER |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
