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RS

Ronald J. Shortenhaus

METLIFE INVESTMENTS SECURITIES
Whippany, NJ 07981-1449
Some features on this profile are disabled
CRD#: 2898316
RS

Professional summary

Ronald James Shortenhaus is a registered financial professional currently at METLIFE INVESTMENTS SECURITIES, LLC located in Whippany, New Jersey.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 1997. Ronald has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald James Shortenhaus'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

January 10, 2022 - Present

METLIFE INVESTMENTS SECURITIES, LLC

Office #1: One Metlife Way, Whippany, NJ 07981-1449
BD
CRD#: 285684
Whippany, NJ
Past

August 29, 2018 - December 8, 2021

FORT WASHINGTON INVESTMENT ADVISORS INC

RIA
CRD#: 107126
WEST DES MOINES, IA
Past

June 4, 2018 - December 20, 2021

TOUCHSTONE SECURITIES, INC.

BD
CRD#: 1526
CINCINNATI, OH
Past

September 9, 2016 - May 7, 2018

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

April 7, 2016 - September 6, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
ST PETERSBURG, FL
Past

May 4, 2009 - February 18, 2015

ATHENE SECURITIES, LLC

BD
CRD#: 36867
WEST DES MOINES, IA
Past

December 19, 2007 - October 2, 2008

BROKER DEALER FINANCIAL SERVICES CORP.

BD
CRD#: 8073
WEST DES MOINES, IA
Past

September 30, 1998 - January 12, 2006

AMCORE INVESTMENT SERVICES, INC

BD
CRD#: 27708
ROCKFORD, IL
Past

September 30, 1997 - September 30, 1998

IMG FINANCIAL SERVICES, INC.

BD
CRD#: 10902

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
Alabama
(1/11/2022)
RR
Alaska
(1/11/2022)
RR
Arizona
(1/11/2022)
RR
Arkansas
(1/11/2022)
RR
California
(1/11/2022)
RR
Colorado
(1/11/2022)
RR
Connecticut
(1/11/2022)
RR
Delaware
(1/11/2022)
RR
District of Columbia
(1/11/2022)
RR
Florida
(1/11/2022)
RR
Georgia
(1/11/2022)
RR
Hawaii
(1/11/2022)
RR
Idaho
(1/11/2022)
RR
Illinois
(1/11/2022)
RR
Indiana
(1/11/2022)
RR
Iowa
(1/10/2022)
RR
Kansas
(1/11/2022)
RR
Kentucky
(1/11/2022)
RR
Louisiana
(1/11/2022)
RR
Maine
(1/11/2022)
RR
Maryland
(1/11/2022)
RR
Massachusetts
(1/11/2022)
RR
Michigan
(1/11/2022)
RR
Minnesota
(1/11/2022)
RR
Mississippi
(1/11/2022)
RR
Missouri
(1/11/2022)
RR
Montana
(1/11/2022)
RR
Nebraska
(1/11/2022)
RR
Nevada
(1/11/2022)
RR
New Hampshire
(1/11/2022)
RR
New Jersey
(1/11/2022)
RR
New Mexico
(1/11/2022)
RR
New York
(1/11/2022)
RR
North Carolina
(1/11/2022)
RR
North Dakota
(1/11/2022)
RR
Ohio
(1/11/2022)
RR
Oklahoma
(1/11/2022)
RR
Oregon
(1/11/2022)
RR
Pennsylvania
(1/11/2022)
RR
Rhode Island
(1/11/2022)
RR
South Carolina
(1/11/2022)
RR
South Dakota
(1/11/2022)
RR
Texas
(1/11/2022)
RR
Utah
(1/11/2022)
RR
Vermont
(1/11/2022)
RR
Virginia
(1/11/2022)
RR
Washington
(1/11/2022)
RR
West Virginia
(1/11/2022)
RR
Wisconsin
(1/11/2022)
RR
Wyoming
(1/11/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/29/1997
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: 2/3/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/29/1997
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MI
METLIFE INVESTMENTS SECURITIES, LLC
METLIFE INVESTMENTS SECURITIES, LLC

CRD#: 285684 / SEC#: , 8-69857

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

Main Address
One Metlife Way, Whippany, NJ 07981-1449
Mailing Address
One Metlife Way, Whippany, NJ 07981-1449
Phone number
(973) 355-4000
Established
Delaware since 08/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# 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#
METLIFE INVESTORS GROUP, LLCSOLE MEMBER
HICKMAN, FRANK IIICHIEF COMPLIANCE OFFICER5056648
POLLARO, JOSEPH PATRICKPRESIDENT/CEO1910072
SERAFIN, ROBERT HPRINCIPAL OPERATIONS OFFICER2427123
YICK, MICHAEL JOHNCFO/FINOP & PRINCIPAL FINANCIAL OFFICER4187342

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

METLIFE INVESTMENTS SECURITIES, LLC

CRD#: 285684Whippany, NJ 07981-1449

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