Ronald D. James
Professional summary
Ronald Dwayne James was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ronald is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Ronald had worked at 8 firms, which includes TD AMERITRADE INC., TD AMERITRADE INVESTMENT MANAGEMENT LLC, FIS BROKERAGE & SECURITIES SERVICES LLC, CITICORP INVESTMENT SERVICES, FISERV INVESTOR SERVICES INC., WILLIAM SCOTT & CO. L.L.C., KENSINGTON WELLS INCORPORATED, JOSEPH STEVENS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2006 - June 1, 2007
TD AMERITRADE, INC.
October 4, 2006 - June 1, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 27, 2006 - June 1, 2007
TD AMERITRADE, INC.
April 23, 2005 - June 24, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
April 6, 2004 - February 28, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
March 14, 2000 - December 18, 2003
CITICORP INVESTMENT SERVICES
June 5, 1998 - February 23, 2000
FISERV INVESTOR SERVICES, INC.
August 1, 1996 - December 16, 1996
WILLIAM SCOTT & CO. L.L.C.
January 17, 1996 - November 26, 1997
KENSINGTON WELLS INCORPORATED
October 19, 1995 - January 3, 1996
JOSEPH STEVENS & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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