Ron C. Steffey

FS INVESTMENT SOLUTIONS

Philadelphia, PA 19112

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CRD#: 2531326

Professional summary

Ron Carl Steffey, who also goes by Ron Steffey, Ronald Carl Steffey, is a registered financial professional currently at FS INVESTMENT SOLUTIONS, LLC located in Philadelphia, Pennsylvania.

Ron is registered as a RR (Registered Representative) and started their career in finance in 1994. Ron has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ron Steffey | Ronald Carl Steffey

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 Ron Carl Steffey'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®

None

Experience

Current

August 28, 2019 - Present

FS INVESTMENT SOLUTIONS, LLC

Office #1: 201 Rouse Boulevard, Philadelphia, PA 19112

CRD#: 145244

Philadelphia, PA

Past

June 2, 2010 - May 31, 2019

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

Argyle, TX

Past

June 2, 2010 - May 31, 2019

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

July 28, 2009 - June 8, 2010

MORGAN STANLEY & CO. LLC

CRD#: 8209

DALLAS, TX

Past

June 19, 2009 - June 8, 2010

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

DALLAS, TX

Past

June 1, 2009 - June 19, 2009

MORGAN STANLEY

RIA

CRD#: 149777

DALLAS, TX

Past

June 1, 2009 - June 19, 2009

MORGAN STANLEY

CRD#: 149777

DALLAS, TX

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

DALLAS, TX

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

DALLAS, TX

Past

January 1, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PURCHASE, NY

Past

December 9, 2002 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 23, 1999 - June 25, 2002

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

January 31, 1995 - May 4, 1999

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

November 8, 1994 - January 30, 1995

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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

Alabama
(8/28/2019)

Alaska
(8/28/2019)

Arizona
(8/28/2019)

Arkansas
(8/28/2019)

California
(8/28/2019)

Colorado
(8/28/2019)

Connecticut
(8/28/2019)

Delaware
(8/28/2019)

District of Columbia
(8/28/2019)

Florida
(8/28/2019)

Georgia
(8/28/2019)

Hawaii
(8/28/2019)

Idaho
(8/28/2019)

Illinois
(8/28/2019)

Indiana
(8/28/2019)

Iowa
(8/28/2019)

Kansas
(8/28/2019)

Kentucky
(8/28/2019)

Louisiana
(8/28/2019)

Maine
(8/28/2019)

Maryland
(8/28/2019)

Massachusetts
(8/28/2019)

Michigan
(8/28/2019)

Minnesota
(8/28/2019)

Mississippi
(8/28/2019)

Missouri
(8/28/2019)

Montana
(8/28/2019)

Nebraska
(8/28/2019)

Nevada
(8/28/2019)

New Hampshire
(8/28/2019)

New Jersey
(8/28/2019)

New Mexico
(8/28/2019)

New York
(8/28/2019)

North Carolina
(8/28/2019)

North Dakota
(8/28/2019)

Ohio
(8/28/2019)

Oklahoma
(8/28/2019)

Oregon
(8/28/2019)

Pennsylvania
(8/28/2019)

Puerto Rico
(8/28/2019)

Rhode Island
(8/28/2019)

South Carolina
(8/28/2019)

South Dakota
(8/28/2019)

Tennessee
(8/28/2019)

Texas
(8/28/2019)

Utah
(8/28/2019)

Vermont
(8/28/2019)

Virginia
(8/28/2019)

Washington
(8/28/2019)

West Virginia
(8/28/2019)

Wisconsin
(8/28/2019)

Wyoming
(8/28/2019)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/28/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/26/1994

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: 9/16/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/26/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FS INVESTMENT SOLUTIONS, LLC

FS INVESTMENT SOLUTIONS, LLC | FS2 CAPITAL PARTNERS, LLC

CRD#: 145244 / SEC#: , 8-67718

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

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Contact information

Main Address

201 Rouse Boulevard, Philadelphia, PA 19112

Mailing Address

201 Rouse Boulevard, Philadelphia, PA 19112

Phone number

(215) 495-1150

Established

Delaware since 07/17/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FRANKLIN SQUARE HOLDINGS, LP	SOLE MEMBER OF FS INVESTMENT SOLUTIONS, LLC
DETWILER, ELIZABETH CAMILLA	GENERAL COUNSEL, PRINICIPAL OPERATIONS OFFICER	4361137
GAGLIOTI, ENRICO SALVATORE	PRESIDENT	2649966
PAGNOTTA, CHRISTOPHER VINCENT	CHIEF COMPLIANCE OFFICER	4418522
SCARPATI, GERARD	FINOP/CFO, PFO	2313132

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.

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Advisor Monitoring

Firm Stability Insights

Ron C. Steffey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ron Carl Steffey's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESCO ADVISERS, INC.

INVESCO DISTRIBUTORS, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

AVANTAX INVESTMENT SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/28/2004

Series 63

Date: 9/26/1994

SIE

Date: 10/1/2018

Series 7

Date: 9/16/1994

Series 24

Date: 9/26/1995

FINRA

Current Firm

FS INVESTMENT SOLUTIONS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FS INVESTMENT SOLUTIONS, LLC

TRUST BUT VERIFY

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