Ronald D. Stumpf

LSL FINANCIAL SERVICES

WILMINGTON, NC

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CRD#: 3068254

Professional summary

Ronald David Stumpf, who also goes by Ronald Stumpf, is a registered financial advisor currently at LSL FINANCIAL SERVICES, LLC located in Wilmington, North Carolina.

Ronald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Ronald has worked at 5 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ronald Stumpf

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.

1) DESMOND VENTURES, INC. 1611 E FOURTH ST. STE. 200 SANTA ANA, CA 92701; ACTING PRESIDENT TO CLOSE DOWN THE BUSINESS AND SELL THE REAL ESTATE; NOT INVESTMENT-RELATED; 2 HOURS PER WEEK. 2) LANCE, SOLL & LUNGHARD, LLP, 1611 E FOURTH STREET, SUITE 200, SANTA ANA, CA 92701-5117; START DATE: 1/1/18: TITLE: CONSULTANT; NO OWNERSHIP; PUBLIC ACCOUNTING FIRM; 200 HOURS PER MONTH; CPA BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald David Stumpf's CRS (Customer Relationship Summary).

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

March 12, 2002 - January 3, 2003

CIBC WORLD MARKETS CORP.

RIA

CRD#: 630

NEW YORK, NY

Past

July 17, 1998 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/21/2019)

IAR

North Carolina
(10/1/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/4/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/12/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/11/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/5/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/1998

General Securities Representative Examination

Current Firm

LSL FINANCIAL SERVICES, LLC

CRD#: 300221 / SEC#:

California

Registered Investment Advisory firm - (3/21/2019 Approved)

North Carolina

Registered Investment Advisory firm - (10/1/2020 Approved)

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Contact information

Main Address

San Juan Capistrano, CA

Mailing Address

Phone number

(714) 328-7844

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Firm Stability Insights

Ronald D. Stumpf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald David Stumpf's CRS (Customer Relationship Summary).

Certified licenses

Experience

ELLS FINANCIAL SERVICES LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER ASSET MANAGEMENT

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/4/2018

Series 66

Date: 12/12/2001

Series 63

Date: 8/11/1998

SIE

Date: 1/5/2016

Series 7

Date: 7/16/1998

Current Firm

LSL FINANCIAL SERVICES, LLC

Contact information

Documents

Red Flags

Company Information

LSL FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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