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RD

Ronald N. Dennis

Some features on this profile are disabled
CRD#: 2382961
RD

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

Are you a "fiduciary"?
No

Aliases

Ronald Ned Dennis

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 7, 2003 - March 2, 2005

FOUNDERS ASSET MANAGEMENT LLC

RIA
CRD#: 44645
DENVER, CO
Past

August 13, 1993 - August 7, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/5/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/18/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/10/1993
General Securities Representative Examination

Current Firm

FA
FOUNDERS ASSET MANAGEMENT LLC
CORNICE ACQUISITION COMPANY, LLC | FOUNDERS ASSET MANAGEMENT LLC

CRD#: 44645 / SEC#: , 8-50761

BD
Terminated by SEC on 11/02/2003
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/26/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CORNICE HOLDING COMPANY, INC.SHAREHOLDER
BYERS, STEPHEN ROBERTMEMBER, BOARD OF MANAGERS1625411
CANTER, STEPHEN EDWARDCHAIRMAN, BOARD OF MANAGERS1837432
CHRISTOFFERSEN, KENNETH ROSSSENIOR VICE PRESIDENT - LEGAL, SECRETARY AND GENERAL COUNSEL2340913
CONTILLO, GREGORY PAULMEMBER, BOARD OF MANAGERS714248
GAFFNEY, FRANCIS PETERSENIOR VICE PRESIDENT - OPERATIONS2259463
MILLARD, MICHAEL GERARDMEMBER, BOARD OF MANAGERS722703
RAY, DAVID LAMARSENIOR VICE PRESIDENT - ADMINISTRATION1535579
SABO, RICHARD WALTERPRESIDENT AND CHIEF EXECUTIVE OFFICER, MEMBER, BOARD OF MANAGERS1031155
SAMPSON, RICHARD ALBERTSR. VP, MEMBER, BOARD OF MANAGERS717356

Disclosures

Regulatory Event4

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.

Company Information

FOUNDERS ASSET MANAGEMENT LLC

CRD#: 44645

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