Ronald A. Lemmon
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 Alan Lemmon was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1973. Ronald had worked at 4 firms and has passed the Series 63, Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 1991 - January 3, 1997
AMERICAN INVESTMENT SERVICES, INC.
February 8, 1988 - April 10, 1991
TEMPO SECURITIES CORPORATION
August 7, 1985 - November 16, 1987
MONITOR SERVICES, INC.
January 23, 1973 - October 20, 1987
H. B. SHAINE & CO., 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
Series 000
Date: 1/18/1973
General Securities Principal ExaminationSeries 1
Date: 1/18/1973
Registered Representative ExaminationSeries 40
Date: 8/26/1976
Registered Principal ExaminationCurrent Firm
AMERICAN INVESTMENT SERVICES, INC.
CRD#: 21111 / SEC#: , 8-38685
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
