Ronald C. Maurno
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 Charles Maurno, who also goes by Ronald Charles Maurno, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1970. Ronald had worked at 12 firms and has passed the Series 65, Series 63, Series 15, PC, Series 7, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2008 - July 26, 2013
TLG ADVISORS, INC.
June 24, 2008 - July 26, 2013
THE LEADERS GROUP, INC.
July 18, 2003 - March 26, 2008
UBS FINANCIAL SERVICES INC.
July 17, 2003 - March 26, 2008
UBS FINANCIAL SERVICES INC.
July 1, 2003 - July 22, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - July 22, 2003
WELLS FARGO CLEARING SERVICES, LLC
January 3, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 3, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1988 - March 30, 1989
LEHMAN BROTHERS INC.
February 12, 1981 - April 11, 1988
E. F. HUTTON & COMPANY INC
November 26, 1979 - March 12, 1981
LEHMAN BROTHERS INC.
December 14, 1978 - November 26, 1979
LOEB PARTNERS
February 24, 1978 - January 11, 1979
MORGAN STANLEY DW INC.
May 25, 1977 - February 24, 1978
REYNOLDS SECURITIES, INC.
January 15, 1977 - June 23, 1977
BACHE HALSEY STUART INC.
July 22, 1970 - January 19, 1971
EQUITY FUNDING SECURITIES CORPORATION
Primary Firm SEC Registration
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
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 15
Date: 12/15/1994
Foreign Currency Options ExaminationPC
Date: 2/12/1981
AMEX Put and Call ExamSeries 1
Date: 7/18/1970
Registered Representative ExaminationSeries 8
Date: 6/12/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TLG ADVISORS, INC.
CRD#: 111052 / SEC#: 801-60458
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
Red Flags
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