Ronald J. Garner
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 Jay Garner was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1993. Ronald had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2012 - October 16, 2012
COHEN & COMPANY SECURITIES, LLC
June 18, 2009 - April 12, 2012
COHEN & COMPANY SECURITIES, LLC
July 21, 2006 - August 20, 2007
UBS ASSET MANAGEMENT (US) INC.
June 5, 2006 - July 6, 2006
UBS ASSET MANAGEMENT (US) INC.
August 19, 1999 - July 11, 2006
UBS SECURITIES LLC
May 28, 1996 - June 18, 1999
CREDIT SUISSE SECURITIES (USA) LLC
June 30, 1994 - May 16, 1996
CITIGROUP GLOBAL MARKETS INC.
April 21, 1994 - July 1, 1994
PERSHING LLC
April 16, 1993 - May 9, 1994
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
COHEN & COMPANY SECURITIES, LLC
CRD#: 149758 / SEC#: , 8-68186
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
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.
