Ronald J. Wall
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 J Wall, who also goes by Ron Wall, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1995. Ronald had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2011 - May 30, 2012
ADVANTAGE INVESTMENT MANAGEMENT, LLC
January 10, 2011 - May 25, 2012
NATIONAL PLANNING CORPORATION
November 2, 2004 - December 31, 2010
FOCUS FINANCIAL
October 18, 2002 - December 31, 2010
OSAIC WEALTH, INC.
October 1, 1999 - October 22, 2002
LPL FINANCIAL LLC
October 30, 1995 - May 19, 1998
M&I FINANCIAL ADVISORS, 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
ADVANTAGE INVESTMENT MANAGEMENT, LLC
CRD#: 146236 / SEC#: 801-69551
Contact information
Red Flags
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