Ronald B. Smith

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CRD#: 2483733

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

Are you a "fiduciary"?

Aliases

Ronald B Smith

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.

1. SELF EMPLOYED RON SMITH- NOT INV RELATED NO ADDR: 5 MADEIRA COURT, MOORESTOWN, NJ 08057. NATURE OF BUSINESS: LIFE INS, FIXED ANNUITIES, EIA, ALL PRODUCTS ON FILE. TITLE: OWNER/LH PRODUCER. START DATE:05/1994 HRS/MONTH:80 TRD HRS/MTH: 80 DUTIES INCLUDE SELLING INSURANCE. 2. CELTIC FINANCIAL,LLC-5 MADEIRA COURT, MOORESTOWN, NJ 08057. NATURE: INSURANCE SALES. POSITION: INDEPENDENT CONTRACTOR FOR INSURANCE SALES. STARTED: 05/1994. #HRS/MTH:160 & 8 HRS DURING TRADE TIME. DUTIES: SELLING INSURANCE AND INVESTMENT PRODUCTS. INVESTMENT RELATED. 3. ROBERT MCINTYRE INSURANCE - 420 E LANCASTER AVE, ST DAVIDS, PA 19087. NOT INVESTMENT RELATED. NATURE: PC INSURANCE. POSITION: INDEPENDENT CONTRACTOR. STARTED: 12/1/14. HRS/MTH - 20 MINIMAL HRS DURING TRADE TIME. DUTIES: CROSS SELLING EMPLOYEE BENEFITS (HEALTH, LIFE...) TO HIS EXISTING COMMERCIAL ACCOUNTS. 4. Patriot Mortgage, LLC - 2517 Highway 35, Bldg B Suite 303, Manasqan, NJ 08736 / Not Investment Related / Nature: Mortgage Loan Solicitor/Originator / Position: Originator / Started: 02/01/2017 / Hr/Mo 5 Hr/Mo during trading: 5 / Duties: Solicit Loans 5. Celtic Benefits, LLC - 123 E Main Street, Rear Building, Moorestown, NJ 08057 / Not Investment Related / Nature: Insurance-Employee Benefits / Position: Insurance Broker / Hr/Mo: 20 / Hr/Mo during trading: 20 / Duties: Sales / Start: 01/2017

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CRS (Client Relationship Summary)

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

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

Past

August 25, 2004 - January 3, 2023

PTS BROKERAGE, LLC

RIA

CRD#: 119307

BORDENTOWN, NJ

Past

August 25, 2004 - January 3, 2023

PTS BROKERAGE, LLC

CRD#: 119307

BORDENTOWN, NJ

Past

December 20, 2000 - September 10, 2004

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

August 3, 2000 - December 20, 2000

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

July 26, 2000 - August 9, 2000

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

March 30, 2000 - July 19, 2000

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

May 27, 1999 - March 27, 2000

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

May 31, 1994 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

May 31, 1994 - June 18, 1999

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/22/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/18/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/10/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/18/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PTS BROKERAGE, LLC

PROFESSIONAL TRADING SERVICES BROKERAGE, LLC | PTS BROKERAGE, LLC

CRD#: 119307 / SEC#: , 8-65173

Delaware

Registered Investment Advisory firm - SEC (2/22/2024 Approved)

Florida

Registered Investment Advisory firm - SEC (11/30/2011 Approved)

Maryland

Registered Investment Advisory firm - SEC (4/29/2024 Approved)

New Jersey

Registered Investment Advisory firm - SEC (6/25/2004 Approved)

New York

Registered Investment Advisory firm - SEC (9/26/2011 Approved)

North Carolina

Registered Investment Advisory firm - SEC (12/31/2012 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (8/25/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

125 Gaither Drive 125 C Gaither Dr, Mt. Laurel, NJ 08054

Mailing Address

125 Gaither Drive Suite C, Mount Laurel, NJ 08054-1706

Phone number

(856) 802-9400

Established

New Jersey since 10/09/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
SCHANK, BRAD WILLIAM	MEMBER, COO	5747196
SCHANK, JEREMY JOHN	MEMBER, CFO, CCO	5702254

Regulatory assets under management

Total Number of Accounts	460
AUM (Assets Under Management)	$ 106,900,000

Red Flags

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Firm Stability Insights

Ronald B. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PTS BROKERAGE, LLC

USALLIANZ SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

NATIONWIDE SECURITIES, LLC

NATIONWIDE SECURITIES, LLC

LOCUST STREET SECURITIES, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/22/2004

Series 63

Date: 5/18/1994

SIE

Date: 10/1/2018

Series 7

Date: 3/10/1999

Series 6

Date: 5/18/1994

Current Firm

PTS BROKERAGE, LLC

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

PTS BROKERAGE, LLC

TRUST BUT VERIFY

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