Michael D. Roncone
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.
Michael David Roncone was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 5 firms and has passed the Series 63, SIE 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
April 20, 2015 - June 30, 2016
CRT CAPITAL GROUP LLC
September 3, 2008 - April 20, 2015
STERNE, AGEE & LEACH, INC.
August 14, 2007 - September 2, 2008
CARIS & COMPANY, INC.
May 11, 2004 - June 18, 2007
PRUDENTIAL EQUITY GROUP, LLC
May 14, 1999 - May 10, 2004
STANDARD & POOR'S SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CRT CAPITAL GROUP LLC
CRD#: 28830 / SEC#: , 8-43940
Contact information
Documents
Disclosures
| Regulatory Event | 13 |
Red Flags
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