Ronald L. Kunze
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 Lyman Kunze, who also goes by Ron Kunze, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1994. Ronald had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31 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
February 19, 2010 - December 11, 2017
RAYMOND JAMES & ASSOCIATES, INC.
February 19, 2010 - December 11, 2017
RAYMOND JAMES & ASSOCIATES, INC.
September 28, 2005 - February 19, 2010
OPPENHEIMER & CO. INC.
November 24, 2004 - February 19, 2010
OPPENHEIMER & CO. INC.
January 8, 2002 - November 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
January 1, 1999 - January 4, 2002
WAMU INVESTMENTS, INC.
January 9, 1998 - January 1, 1999
GRIFFIN FINANCIAL SERVICES
December 8, 1997 - January 5, 1998
CUSO FINANCIAL SERVICES, L.P.
January 30, 1997 - December 9, 1997
GRIFFIN FINANCIAL SERVICES
September 11, 1996 - January 22, 1997
FIMCO SECURITIES GROUP, INC.
July 15, 1996 - August 30, 1996
WELLS FARGO SECURITIES INC.
May 8, 1995 - November 17, 1995
ESSEX NATIONAL SECURITIES, LLC
April 17, 1995 - July 15, 1996
FIRST INTERSTATE INVESTMENTS,INC.
March 5, 1994 - April 27, 1995
WELLS FARGO SECURITIES INC.
February 7, 1994 - March 16, 1994
INTERFIRST CAPITAL CORPORATION
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
