Ronald G. Anglin
Professional summary
Ronald Gene Anglin was barred by both the FINRA and the SEC 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 1999. Prior to being barred, Ronald had worked at 6 firms, which includes MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CITIGROUP GLOBAL MARKETS INC., CITICORP INVESTMENT SERVICES, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY, EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2008 - June 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 2008 - June 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 2007 - October 9, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - October 9, 2008
CITIGROUP GLOBAL MARKETS INC.
July 8, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
July 8, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
January 5, 2004 - June 22, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
December 10, 2003 - June 22, 2004
IDS LIFE INSURANCE COMPANY
December 10, 2003 - June 22, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
February 9, 2001 - June 4, 2001
EDWARD JONES
February 17, 1999 - January 19, 2001
IDS LIFE INSURANCE COMPANY
February 17, 1999 - January 19, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
