Ronny M. Espinoza
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.
Ronny M Espinoza, who also goes by Ronny Martin Espinoza, was a registered financial professional .
Ronny is a previously registered financial professional and started their career in finance in 2004. Ronny had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2021 - December 8, 2021
AW SECURITIES
May 29, 2019 - September 2, 2020
PARK AVENUE SECURITIES LLC
November 4, 2016 - May 30, 2019
WELLS FARGO CLEARING SERVICES, LLC
October 4, 2016 - May 30, 2019
WELLS FARGO CLEARING SERVICES, LLC
September 8, 2006 - October 6, 2015
UBS FINANCIAL SERVICES INC.
March 15, 2004 - September 11, 2006
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
AW SECURITIES
CRD#: 103747 / SEC#: 801-69038, 8-52250
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLWORTH FINANCIAL GROUP, L.P. | GENERAL PARTNER | |
| BEATON, DANIEL STEWART | FINOP | 4240769 |
| FRIZE, BERNARD JOSEPH JR | CHIEF COMPLIANCE OFFICER - BD | 2366022 |
| GAMBLE, COREY C | CHIEF COMPLIANCE OFFICER - IA/ENTERPRISE CCO | 4919573 |
| GREENBERG, BARRY YALE | CHIEF LEGAL COUNSEL | 5863733 |
| GRIGSBY, GARY LAWSON | CEO | 3167632 |
| TAYLOR, KRISTIAN LEIGH | VICE PRESIDENT- OPERATIONS | 4163800 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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