Ronald K. Ross

VANDERBILT SECURITIES

Woodbury, NY 11797

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CRD#: 2468160

Professional summary

Ronald Kenneth Ross, ChFC®, CLU® is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Woodbury, New York.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 1994. Ronald has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Ronald Kenneth Ross's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

February 15, 2018 - Present

VANDERBILT SECURITIES, LLC

Office #1: 125 Froehlich Farm Blvd., Woodbury, NY 11797

CRD#: 5953

Woodbury, NY

Past

March 19, 2013 - February 16, 2018

CALTON & ASSOCIATES, INC.

CRD#: 20999

TAMPA, FL

Past

May 12, 2010 - December 31, 2012

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WESTLAKE VILLAGE, CA

Past

October 3, 2000 - March 8, 2010

INTERLINK SECURITIES CORP.

CRD#: 30505

WOODLAND HILLS, CA

Past

October 22, 1999 - June 8, 2000

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

July 6, 1998 - October 5, 1999

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

May 6, 1994 - July 1, 1998

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(2/15/2018)

Florida
(8/14/2024)

Montana
(4/21/2022)

Exams

State Security Law Exam

Series 63

Date: 5/5/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/5/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES

CRD#: 5953 / SEC#: , 8-16712

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Mailing Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Phone number

(631) 845-5100

Established

New York since 12/05/2001

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
VANDERBILT CAPITAL, LLC	SOLE OWNER
ANTENOR, JR, DANIEL	CHIEF OPERATIONS OFFICER/OPTIONS/MUNI	5839052
DISTANTE, STEPHEN ALFRED	CEO - LIMITED PARTNER	2206574
PLAPP, MEGAN LYNN	FINOP, POO, PFO, CFO	6790596
THOMAS, MICHELLE DENISE	CHIEF COMPLIANCE OFFICER	2210435
TRIFILETTI, JOSEPH JOHN	PRESIDENT	5295897

Disclosures

Regulatory Event	5
Arbitration	1

Red Flags

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Advisor Monitoring

Firm Stability Insights

Ronald K. Ross

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald Kenneth Ross's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALTON & ASSOCIATES, INC.

VOYA FINANCIAL ADVISORS, INC.

INTERLINK SECURITIES CORP.

PARK AVENUE SECURITIES LLC

LOCUST STREET SECURITIES, INC.

OSAIC FS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/5/1994

SIE

Date: 10/1/2018

Series 6

Date: 5/5/1994

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VANDERBILT SECURITIES, LLC

TRUST BUT VERIFY

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