Ronald A. Tadross
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 Anthony Tadross 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 87 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
May 4, 2018 - July 8, 2021
VII CAPITAL MANAGEMENT LLC
October 23, 2000 - August 23, 2007
BANC OF AMERICA SECURITIES LLC
March 29, 2000 - November 9, 2000
CREDIT SUISSE SECURITIES (USA) LLC
September 10, 1998 - March 20, 2000
PRUDENTIAL EQUITY GROUP, LLC
September 1, 1998 - October 1, 1998
CITIGROUP GLOBAL MARKETS INC.
July 9, 1997 - September 1, 1998
SALOMON BROTHERS INC.
September 22, 1995 - July 1, 1997
PRUDENTIAL EQUITY GROUP, LLC
November 29, 1994 - August 30, 1995
MORGAN STANLEY DW INC.
November 11, 1993 - August 26, 1994
PRUDENTIAL EQUITY GROUP, LLC
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
VII CAPITAL MANAGEMENT LLC
CRD#: 286371 / SEC#: 802-108888
Contact information
Regulatory assets under management
| Total Number of Accounts | 79 |
| AUM (Assets Under Management) | $ 46,417,310 |
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 1/6/2017 |
| Connecticut | ERA - Withdrawn | 1/6/2017 |
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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