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Ronald Sheldon Bloomfield

CRD# 23996·Registered 1971 - 2013
Barred: Ronald Sheldon Bloomfield was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Ronald Sheldon Bloomfield was a registered financial advisor. Ronald was a previously registered financial professional and started their career in finance 1971 - 2013. Ronald had worked at 19 firms and has passed the Series 63, Series 1, Series 24 and Series 4 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

55 years in the financial services industry

Current & Past Employments

INTEGRATED TRADING AND INVESTMENTS, INC.·CRD# 47730
BD
Huntington Beach, CA
April 4, 2012 - May 20, 2013
REGENT CAPITAL GROUP, INC.·CRD# 126881
BD
Westlake Village, CA
January 20, 2011 - June 19, 2012
AIS FINANCIAL, INC.·CRD# 41462
BD
Westlake Village, CA
August 4, 2008 - December 31, 2010
NATIONAL SECURITIES CORPORATION·CRD# 7569
BD
Santa Monica, CA
May 22, 2007 - August 27, 2008
LEEB BROKERAGE SERVICES, INC.·CRD# 46195
BD
Santa Moncia, CA
January 5, 2006 - May 18, 2007
WESTERN INTERNATIONAL SECURITIES, INC.·CRD# 39262
BD
Pasadena, CA
February 13, 2004 - August 5, 2005
NEWPORT COAST SECURITIES, INC.·CRD# 16944
BD
New York, NY
March 9, 1999 - May 12, 2004
NATHAN & LEWIS SECURITIES, INC.·CRD# 8503
BD
New York, NY
May 8, 1996 - March 30, 1999
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.·CRD# 2864
BD
Bryan, OH
May 24, 1990 - May 9, 1996
LCP CAPITAL CORP.·CRD# 14469
BD
Staten Island, NY
February 17, 1989 - August 15, 1990
DOUGLAS BREMEN & CO., INC.·CRD# 13186
BD
August 12, 1988 - February 28, 1989
PROFESSIONAL BROKERAGE SERVICES INC.·CRD# 7998
BD
November 15, 1985 - August 12, 1988
STIFEL, NICOLAUS & COMPANY, INCORPORATED·CRD# 793
BD
April 29, 1985 - June 4, 1987
JESUP & LAMONT SECURITIES CO., INC.·CRD# 6736
BD
April 1, 1984 - October 11, 1985
JJC SECURITIES CO., INC.·CRD# 3144
BD
November 8, 1978 - April 1, 1984
A C SECURITIES, INC.·CRD# 1340
BD
January 26, 1976 - December 6, 1978
DREXEL BURNHAM LAMBERT INCORPORATED·CRD# 7323
BD
May 11, 1973 - February 14, 1976
DREXEL BURNHAM & CO. INCORPORATED·CRD# 116
BD
April 11, 1972 - May 11, 1973
LEHMAN BROTHERS INCORPORATED·CRD# 514
BD
November 10, 1971 - April 22, 1972

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Current Firm

IT
INTEGRATED TRADING AND INVESTMENTS, INC.

INTEGRATED TRADING AND INVESTMENTS, INC.

CRD#: 47730 / SEC#: 8-51880
BD
Terminated by SEC on 07/29/2018

Contact Information

Established

Nevada since 05/10/1999

Firm Type

Corporation

Fiscal Year End

March

Documents

Direct owners and executive officers

NamePositionCRD#
INTEGRATED CAPITAL GROUP, INC.CORPORATE HOLDING CO.—
COHEN, AARON WILLIAMPRESIDENT/CEO/CCO874379
MORGAN, WILLIAM ARTHURFINOP852925

Disclosures

Regulatory Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1985About the Series 63 exam

Series 1 — Registered Representative Examination

Passed Nov 1971

Series 24 — General Securities Principal Examination

Passed Apr 1985About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Jan 1985About the Series 4 exam

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CRS (Client Relationship Summary)

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

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