Ronald B. Smith
Professional summary
Ronald Burton Smith was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ronald is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Ronald had worked at 6 firms, which includes PTS BROKERAGE LLC, USALLIANZ SECURITIES INC., LOCUST STREET SECURITIES INC., NATIONWIDE SECURITIES LLC, JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2004 - January 3, 2023
PTS BROKERAGE, LLC
August 25, 2004 - January 3, 2023
PTS BROKERAGE, LLC
December 20, 2000 - September 10, 2004
USALLIANZ SECURITIES, INC.
August 3, 2000 - December 20, 2000
LOCUST STREET SECURITIES, INC.
July 26, 2000 - August 9, 2000
NATIONWIDE SECURITIES, LLC
March 30, 2000 - July 19, 2000
NATIONWIDE SECURITIES, LLC
May 27, 1999 - March 27, 2000
LOCUST STREET SECURITIES, INC.
May 31, 1994 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 31, 1994 - June 18, 1999
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
PTS BROKERAGE, LLC
CRD#: 119307 / SEC#: , 8-65173
Contact information
FINRA licenses (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 460 |
| AUM (Assets Under Management) | $ 106,900,000 |
Red Flags
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