Ronald N. Dennis
Professional summary
Ronald Ned Dennis JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ronald is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Ronald had worked at 2 firms, which includes FOUNDERS ASSET MANAGEMENT LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2003 - March 2, 2005
FOUNDERS ASSET MANAGEMENT LLC
August 13, 1993 - August 7, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
FOUNDERS ASSET MANAGEMENT LLC
CRD#: 44645 / SEC#: , 8-50761
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CORNICE HOLDING COMPANY, INC. | SHAREHOLDER | |
| BYERS, STEPHEN ROBERT | MEMBER, BOARD OF MANAGERS | 1625411 |
| CANTER, STEPHEN EDWARD | CHAIRMAN, BOARD OF MANAGERS | 1837432 |
| CHRISTOFFERSEN, KENNETH ROSS | SENIOR VICE PRESIDENT - LEGAL, SECRETARY AND GENERAL COUNSEL | 2340913 |
| CONTILLO, GREGORY PAUL | MEMBER, BOARD OF MANAGERS | 714248 |
| GAFFNEY, FRANCIS PETER | SENIOR VICE PRESIDENT - OPERATIONS | 2259463 |
| MILLARD, MICHAEL GERARD | MEMBER, BOARD OF MANAGERS | 722703 |
| RAY, DAVID LAMAR | SENIOR VICE PRESIDENT - ADMINISTRATION | 1535579 |
| SABO, RICHARD WALTER | PRESIDENT AND CHIEF EXECUTIVE OFFICER, MEMBER, BOARD OF MANAGERS | 1031155 |
| SAMPSON, RICHARD ALBERT | SR. VP, MEMBER, BOARD OF MANAGERS | 717356 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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