Ronald W. Hetzel
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 William Hetzel was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1994. Ronald had worked at 4 firms and has passed the Series 63, Series 7, Series 6 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
June 29, 2017 - April 30, 2020
CURI CAPITAL, LLC
June 16, 2003 - December 7, 2004
MMC SECURITIES LLC
December 13, 1999 - June 16, 2003
MERCER SECURITIES, INC.
December 9, 1994 - December 4, 1997
ALFS, INC.
Primary Firm SEC Registration
CURI CAPITAL, LLC
CRD#: 134249 / SEC#: 801-63939
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
CURI CAPITAL, LLC
CRD#: 134249 / SEC#: 801-63939
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,209 |
| AUM (Assets Under Management) | $ 9,830,680,915 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/01/2025 | ||
| 11/27/2024 | ||
| 10/27/2023 | ||
| 09/26/2022 |
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.
