Ronald J. Large
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 Joseph Large, who also goes by Ron Large, Ronnie Large, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1998. Ronald had worked at 8 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
June 4, 2013 - June 23, 2020
NATIONAL SECURITIES CORPORATION
November 4, 2009 - June 5, 2013
JOHN THOMAS FINANCIAL
February 1, 2008 - December 3, 2009
WINDSOR STREET CAPITAL, LP
November 8, 2002 - February 26, 2008
NATIONAL SECURITIES CORPORATION
February 13, 2002 - November 14, 2002
SALOMON GREY FINANCIAL CORPORATION
August 21, 2001 - November 10, 2001
SALOMON GREY FINANCIAL CORPORATION
December 6, 2000 - December 13, 2000
WINDSOR STREET CAPITAL, LP
April 25, 2000 - August 25, 2000
DELTA ASSET MANAGEMENT COMPANY, LLC
December 20, 1999 - June 27, 2000
WOLFF INVESTMENT GROUP INCORPORATED
December 1, 1998 - November 4, 1999
LCP CAPITAL CORP.
June 11, 1998 - December 31, 1998
SHAMROCK PARTNERS, LTD
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
