Ronald C. Ball
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 Clark Ball was a registered financial advisor .
Ronald is a previously registered financial advisor and started their career in finance in 1994. Ronald had worked at 8 firms and has passed the Series 65, Series 63, Series 31, Series 7 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
March 9, 2004 - December 17, 2004
STERLING FINANCIAL INVESTMENT GROUP, INC.
February 2, 2004 - March 15, 2004
SUNAMERICA SECURITIES, INC.
December 9, 2002 - September 30, 2003
JANNEY MONTGOMERY SCOTT LLC
November 20, 2002 - September 30, 2003
JANNEY MONTGOMERY SCOTT LLC
April 25, 2001 - November 20, 2002
WELLS FARGO CLEARING SERVICES, LLC
March 21, 2001 - November 20, 2002
WELLS FARGO CLEARING SERVICES, LLC
July 15, 1999 - March 20, 2001
BROOKSTREET SECURITIES CORPORATION
January 22, 1997 - July 21, 1999
FIRST COLONIAL SECURITIES
October 4, 1995 - February 20, 1997
BARBER & BRONSON INCORPORATED
October 24, 1994 - May 4, 1995
MORGAN STANLEY DW INC.
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
Current Firm
STERLING FINANCIAL INVESTMENT GROUP, INC.
CRD#: 41506 / SEC#: , 8-49503
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STERLING FINANCIAL GROUP OF COMPANIES, INC. (F/K/A STERLING FINANCIAL HOLDINGS INC.) | COMPANY | |
| GARCIA, CHARLES PATRICK | CHIEF EXECUTIVE OFFICER | 2933864 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
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.
