Ronald E. Lanouette
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 Eugene Lanouette, who also goes by Ronald E Lanouette, Ronald E Lanquette, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1997. Ronald had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 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
September 27, 2010 - December 21, 2017
INDEPENDENT FINANCIAL GROUP, LLC
September 27, 2010 - December 21, 2017
INDEPENDENT FINANCIAL GROUP, LLC
January 23, 2009 - October 21, 2010
SECURITIES AMERICA ADVISORS, INC.
January 23, 2009 - October 21, 2010
SECURITIES AMERICA, INC.
January 4, 2006 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
January 3, 2006 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
June 19, 2001 - January 13, 2006
VALIC FINANCIAL ADVISORS, INC.
January 14, 1999 - January 13, 2006
VALIC FINANCIAL ADVISORS, INC.
November 16, 1998 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
November 18, 1997 - July 15, 1998
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
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
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
