Ronald G. Handloser
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 Gordon Handloser was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1968. Ronald had worked at 11 firms and has passed the Series 15, Series 000, Series 1 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
July 5, 1988 - June 20, 2012
FRANKLIN CAPITAL INC
May 19, 1986 - December 31, 1987
AMERICAN CAPITAL EQUITIES, INC.
February 16, 1984 - September 24, 1984
FIRST OF MICHIGAN CORPORATION
February 11, 1980 - April 21, 1982
PRUDENTIAL EQUITY GROUP, LLC
November 22, 1977 - February 4, 1980
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
July 8, 1974 - November 8, 1974
HAYDEN STONE INC.
November 19, 1973 - July 26, 1974
REYNOLDS SECURITIES, INC.
February 9, 1971 - December 14, 1973
E. F. HUTTON & COMPANY INC
October 23, 1968 - March 19, 1971
GOODBODY & CO. INCORPORATED
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
Series 15
Date: 5/19/1984
Foreign Currency Options ExaminationSeries 000
Date: 10/21/1968
General Securities Principal ExaminationSeries 1
Date: 10/21/1968
Registered Representative ExaminationCurrent Firm
FRANKLIN CAPITAL INC
CRD#: 18846 / SEC#: , 8-37498
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANDLOSER, RONALD GORDON | PRESIDENT, CHIEF COMPLIANCE OFFICER | 235669 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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