Ronald Formella
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 Formella was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1994. Ronald had worked at 10 firms and has passed the Series 63, Series 7 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
March 7, 2000 - August 10, 2001
PRIMEX
August 17, 1999 - November 17, 1999
FAS WEALTH MANAGEMENT SERVICES, INC.
July 28, 1999 - September 2, 1999
SEABOARD SECURITIES, INC.
June 19, 1997 - August 4, 1997
WILLIAM & CO. CAPITAL MARKETS LTD.
March 20, 1997 - April 22, 1997
CHURCHILL SECURITIES, INC.
June 10, 1996 - July 11, 1996
ROYAL PALM INVESTMENTS, LTD.
March 21, 1996 - July 10, 1996
MONITOR INVESTMENT GROUP, INC.
October 25, 1995 - March 20, 1996
PARAGON CAPITAL MARKETS, INC.
June 2, 1994 - November 9, 1994
PRUCO SECURITIES, LLC.
March 7, 1994 - March 18, 1994
INVESTORS ASSOCIATES, INC.
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
PRIMEX
CRD#: 29394 / SEC#: , 8-44331
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANTAGE TRADING LLC | OWNER | |
| FELIX, WILFREDO JR | CEO, CCO, PRINCIPAL, FINOP, DIRECTOR | 2693672 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
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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