Ronald J. Howard
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 Jay Howard was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1973. Ronald had worked at 15 firms and has passed the Series 63, Series 1 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
October 1, 2019 - January 9, 2024
ALLWORTH FINANCIAL, L.P.
September 8, 2008 - November 6, 2019
SIENA WEALTH MANAGEMENT, INC.
January 1, 1999 - April 30, 2008
LORING WARD SECURITIES INC.
August 13, 1996 - January 1, 1999
REINHARDT WERBA BOWEN SECURITIES, INC.
December 7, 1994 - June 26, 1996
WESTHOFF, CONE & HOLMSTEDT
August 10, 1993 - August 8, 1994
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
July 30, 1991 - August 18, 1993
ALDA SECURITIES, INC.
August 9, 1989 - March 18, 1991
BALBOA CAPITAL CORPORATION
September 28, 1987 - June 14, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
July 16, 1987 - June 1, 1988
SOUTHMARK CAPITAL RESOURCE
February 4, 1987 - July 14, 1987
RANCON SECURITIES CORPORATION
February 10, 1982 - August 18, 1986
JOHNSTOWN CAPITAL SECURITIES CORPORATION
September 25, 1978 - February 21, 1979
SOUTHMARK FINANCIAL SERVICES, INC.
May 14, 1976 - July 12, 1978
DAVE FRIES AND ASSOCIATES
November 27, 1973 - November 18, 1976
NORTH AMERICAN MANAGEMENT, INC.
June 1, 1973 - November 22, 1973
USLIFE EQUITY SALES CORP
Primary Firm SEC Registration
ALLWORTH FINANCIAL, L.P.
CRD#: 111167 / SEC#: 801-68255
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
Series 1
Date: 5/24/1973
Registered Representative ExaminationCurrent Firm
ALLWORTH FINANCIAL, L.P.
CRD#: 111167 / SEC#: 801-68255
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 64,930 |
| AUM (Assets Under Management) | $ 25,097,132,975 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2025 | ||
| 02/05/2025 |
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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