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Ronald L. Velez

VANGUARD MARKETING
Malvern, PA 19355
Some features on this profile are disabled
CRD#: 2739998
RV

Professional summary

Ronald Louis Velez, who also goes by Ronald L Velez, Ronald Louis Velez, Ronald Velez, Ron Velez, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 1996. Ronald has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ronald L Velez | Ronald Louis Velez | Ronald Velez | Ron Velez

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: CONNECTIONS WORK INVESTMENT RELATED ADDRESS: READING, PA NATURE OF BUSINESS: NON-PROFIT ORGANIZATION POSITION: BOARD MEMBER (FINANCE COMMITTEE) START DATE: 01/2016 APPROXIMATE HOURS/MONTH: 3 HOURS DEVOTED DURING TRADING HOURS: 3 DUTIES: OVERSIGHT OF EXECUTIVE DIRECTORS AND STAFF, VOTING, FUNDRAISING

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald Louis Velez's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 7, 2021 - Present

VANGUARD MARKETING CORPORATION

Office #1: 100 Vanguard Blvd, Malvern, PA 19355
BD
CRD#: 7452
Malvern, PA
Past

July 7, 2021 - December 31, 2024

VANGUARD ADVISERS, INC.

RIA
CRD#: 106715
Malvern, PA
Past

June 25, 2020 - July 8, 2021

PFS INVESTMENTS INC.

RIA
CRD#: 10111
READING, PA
Past

May 29, 2020 - July 8, 2021

PFS INVESTMENTS INC.

BD
CRD#: 10111
READING, PA
Past

September 24, 2018 - December 31, 2018

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
LANCASTER, PA
Past

September 24, 2018 - December 31, 2018

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
LANCASTER, PA
Past

October 11, 2017 - July 5, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
Wernersville, PA
Past

September 25, 2017 - July 5, 2018

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
Wernersville, PA
Past

January 8, 2004 - September 2, 2005

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
JOHNSTON, RI
Past

May 1, 2003 - October 8, 2003

M&T SECURITIES, INC.

BD
CRD#: 17358
BALTIMORE, MD
Past

January 17, 1997 - May 1, 2003

ALLFIRST BROKERAGE CORPORATION

BD
CRD#: 17531
BALTIMORE, MD
Past

June 5, 1996 - November 20, 1996

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Pennsylvania
(7/7/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/11/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/10/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/25/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/29/1996
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VM
VANGUARD MARKETING CORPORATION
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION

CRD#: 7452 / SEC#: , 8-21570

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
5951 Luckett Court Suite A1, El Paso, TX 79932-1882
Phone number
(610) 669-1000
Established
Pennsylvania since 04/21/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE VANGUARD GROUP, INC.PARENT COMPANY
BENCHENER, MATTHEW JOHNCHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE5569805
BENDL, JOHN WESLEYDIRECTOR, SENIOR VICE PRESIDENT6931980
BISORDI, JOHNDIRECTOR, VICE PRESIDENT, GENERAL COUNSEL7526828
BOATENG, AMMA ACHEAMPOMAADIRECTOR, SENIOR VICE PRESIDENT4677078
BRANCATO, MATTHEW CLARKDIRECTOR, VICE PRESIDENT6220380
JAMES, JOHN MARKDIRECTOR, SENIOR VICE PRESIDENT5594356
PANTALONE, SALVATORE L JRPRINCIPAL FINANCIAL OFFICER2887373
PETTY, DAVIDVICE PRESIDENT5684895
STEWART, MARC CHRISTOPHERCHIEF COMPLIANCE OFFICER2688699
TRETTER, MATTHEW ANTHONYPRINCIPAL OPERATIONS OFFICER5956530

Disclosures

Regulatory Event48
Arbitration8

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.

Company Information

VANGUARD MARKETING CORPORATION

CRD#: 7452Malvern, PA 19355

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