Ronald G. Richer
Professional summary
Ronald G Richer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ronald is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Ronald had worked at 8 firms, which includes GARDEN STATE SECURITIES INC., GLOBAL ARENA INVESTMENT MANAGEMENT LLC, GLOBAL ARENA CAPITAL CORP, CLARK DODGE & CO. INC., WESTROCK ADVISORS INC., DPEC CAPITAL INC., BERRY-SHINO SECURITIES INC., SOLID ISG CAPITAL MARKETS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2014 - May 14, 2020
GARDEN STATE SECURITIES, INC.
December 12, 2012 - January 28, 2015
GLOBAL ARENA INVESTMENT MANAGEMENT, LLC
May 7, 2008 - December 8, 2014
GLOBAL ARENA CAPITAL CORP
February 3, 2006 - May 30, 2008
CLARK DODGE & CO., INC.
August 12, 2004 - February 2, 2006
WESTROCK ADVISORS, INC.
November 19, 2002 - August 10, 2004
DPEC CAPITAL, INC.
June 20, 2001 - December 20, 2002
BERRY-SHINO SECURITIES, INC.
February 20, 1998 - June 15, 2001
SOLID ISG CAPITAL MARKETS, LLC
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
GARDEN STATE SECURITIES, INC.
CRD#: 10083 / SEC#: , 8-25790
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMBROSINO, RAYMOND EDWARD | DIRECTOR/SHAREHOLDER | 2070784 |
| DEROSA, KEVIN JOHN | DIRECTOR/SHAREHOLDER | 2314895 |
| PERROTTO, LOUIS LUCKY JR | DIRECTOR/SHAREHOLDER/CHIEF EXECUTIVE OFFICER | 3053498 |
| SARI, SCOTT HENRY | DIRECTOR/SHAREHOLDER | 2226426 |
| MALONE, PATRICK ANTHONY | CHIEF SUPERVISORY OFFICER | 2143703 |
| MCMULLIN, ROBERT | CHIEF FINANCIAL OFFICER | 1540045 |
| TRIGILI, STEVEN DAVID | CHIEF COMPLIANCE OFFICER | 2232496 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 3 |
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