Ronald Francis
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 Francis was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1997. Ronald had worked at 2 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
November 29, 1997 - October 13, 2017
M. GRIFFITH INVESTMENT SERVICES, INC.
June 20, 1997 - September 24, 1998
AVANTAX INVESTMENT SERVICES, 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
M. GRIFFITH INVESTMENT SERVICES, INC.
CRD#: 2078 / SEC#: 801-64649, 8-2259
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MGL ASSOCIATES INC. | SHAREHOLDER | |
| CUCHARALE, CATHERINE ANN | CHIEF COMPLIANCE OFFICER | 3054881 |
| CUCHARALE, CATHERINE ANN | CHIEF OPERATING OFFICER | 3054881 |
| CUCHARALE, CATHERINE ANN | DIRECTOR | 3054881 |
| GRIFFITH, DAVID THOMAS | DIRECTOR | 230042 |
| GRIFFITH, DAVID THOMAS | FINANCIAL AND OPERATIONS PRINCIPAL | 230042 |
| GRIFFITH, DAVID THOMAS | PRESIDENT | 230042 |
| GRIFFITH, JANET NELSON | DIRECTOR | 6886551 |
| GURTOWSKI, MARY LOURDES | CORPORATE SECRETARY | 4649655 |
| GURTOWSKI, MARY LOURDES | DIRECTOR | 4649655 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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