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RP

Ronald M. Panzier

GPP SECURITIES
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 2515899
RP

Professional summary

Ronald Marc Panzier, who also goes by Ron Panzier, is a registered financial professional currently at GPP SECURITIES, LLC located in Greenwich, Connecticut.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 2017. Ronald has worked at 1 firm and has passed the Series 63, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ron Panzier

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 Marc Panzier's 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®
None

Experience

Current

August 23, 2017 - Present

GPP SECURITIES, LLC

Office #1: 165 Mason Street 3rd Floor, Greenwich, CT 06830Office #2: 165 Mason Street 3rd Floor, Greenwich, CT, 06830
BD
CRD#: 285223
Greenwich, CT

State Registrations and Notice Filings

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

RR
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

RR
Connecticut
(9/5/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 2/28/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/7/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GS
GPP SECURITIES, LLC
GPP SECURITIES, LLC

CRD#: 285223 / SEC#: , 8-69832

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
165 Mason Street 3rd Floor, Greenwich, CT, 06830
Mailing Address
165 Mason Street 3rd Floor, Greenwich, CT, 06830
Phone number
(203) 971-3300
Established
Delaware since 07/01/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GREAT POINT PARTNERS, LLCMEMBER158423
ABRAHAM, PRESTON NMNGENERAL SECURITIES PRINCIPAL6710332
FELSENTHAL, ADAM BRIANGENERAL SECURITIES PRINCIPAL/CCO7212547
PANZIER, RONALD MARCGENERAL SECURITIES PRINCIPAL/MANAGER2515899
RICHARDS, JAMES ROSSFIN OP2680389

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.

Company Information

GPP SECURITIES, LLC

CRD#: 285223Greenwich, CT 06830

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