Ronald L. Mcleod
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 Lee Mcleod, who also goes by Ron Mcleod, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1998. Ronald had worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, 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 7, 2021 - August 12, 2022
MOLONEY SECURITIES CO., INC.
March 30, 2012 - October 5, 2021
ARQUE CAPITAL, LTD.
February 22, 2011 - April 2, 2012
ALLIED BEACON PARTNERS, INC.
May 28, 2010 - February 22, 2011
AMERICAN BEACON PARTNERS, INC.
July 6, 2009 - June 2, 2010
ALLEGIANT SECURITIES L.L.C.
May 13, 2005 - June 25, 2009
WORKMAN SECURITIES CORPORATION
February 25, 2004 - September 30, 2004
OBERWEIS SECURITIES, INC.
January 10, 2003 - January 21, 2004
INVESTMENT CENTERS OF AMERICA, INC.
August 19, 2002 - December 9, 2002
ALLSTATE FINANCIAL SERVICES, LLC
November 5, 2001 - August 16, 2002
ROSENTHAL COLLINS SECURITIES, L.L.C
November 3, 1999 - September 12, 2001
AMERIPRISE ADVISOR SERVICES, INC.
June 29, 1998 - October 1, 1999
MORGAN STANLEY DW 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
MOLONEY SECURITIES CO., INC.
CRD#: 38535 / SEC#: 801-64722, 8-48326
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIAR GREEN HOLDINGS, INC. | OWNER | |
| CORRIGAN, BRIAN PATRICK | INVESTOR/DIRECTOR | 4258969 |
| HANCOCK, DONALD RALPH | CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHAIRMAN | 828811 |
| HOLOWATUK, WILLIAM JAMES | DIRECTOR OF COMPLIANCE | 6107023 |
| HUME, SCOTT ALLEN | INVESTOR/DIRECTOR | 2894512 |
| MEDLEY, JOSEPH RONALD JR | INVESTOR/DIRECTOR | 2619119 |
| MOLONEY, EDWARD JOHN JR | PRESIDENT, OFFICER/DIRECTOR | 3188341 |
| ROSEMAN, JEFFREY PATRICK | CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL & VP | 6296481 |
| STEEL, GEORGE DONALD | INVESTOR/DIRECTOR | 716992 |
| WIESER, RYAN MATHEW | VICE PRESIDENT, DIRECTOR OF OPERATIONS, CHIEF OPERATING OFFICER/DIRECTOR | 4940639 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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