Ronald E. Naff
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 Edwin Naff was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1973. Ronald had worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2016 - December 18, 2018
KESTRA ADVISORY SERVICES, LLC
January 2, 2008 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
January 2, 2008 - December 18, 2018
KESTRA INVESTMENT SERVICES, LLC
January 29, 2003 - December 31, 2007
VOYA FINANCIAL ADVISORS, INC.
December 10, 2002 - December 31, 2007
VOYA FINANCIAL ADVISORS, INC.
February 9, 2001 - December 31, 2002
SECURITIES AMERICA ADVISORS, INC.
April 22, 1994 - December 5, 2002
SECURITIES AMERICA, INC.
January 30, 1991 - April 25, 1994
FSC SECURITIES CORPORATION
November 19, 1989 - January 15, 1991
OSAIC WEALTH, INC.
February 4, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 10, 1985 - January 13, 1989
JOHN HANCOCK DISTRIBUTORS LLC
February 4, 1981 - May 13, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
February 15, 1978 - November 2, 1983
JOHN HANCOCK DISTRIBUTORS LLC
April 28, 1975 - February 3, 1977
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 4, 1973 - September 11, 1976
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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 1
Date: 8/24/1973
Registered Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
