Ronald Neumark
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 Neumark, who also goes by Ron Neumark, Ronald Newmark, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1970. Ronald had worked at 11 firms and has passed the Series 63, Series 7 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
September 25, 2009 - November 22, 2010
LADENBURG THALMANN & CO. INC.
November 21, 2008 - May 13, 2009
LADENBURG THALMANN & CO. INC.
November 28, 2000 - August 15, 2008
THE CONCORD EQUITY GROUP, LLC
December 4, 1991 - January 23, 2001
GKN SECURITIES CORP.
February 5, 1991 - October 29, 1991
HERZOG, HEINE, GEDULD, LLC
January 11, 1984 - November 24, 1990
THE STUART-JAMES COMPANY, INCORPORATED
June 4, 1979 - January 12, 1984
BLINDER, ROBINSON & CO., INC.
February 6, 1974 - September 14, 1974
E. F. HUTTON & COMPANY INC
August 6, 1973 - March 20, 1974
DUPONT WALSTON, INCORPORATED
July 12, 1972 - May 30, 1973
WEIS SECURITIES, INC.
April 18, 1972 - August 5, 1972
JII SECURITIES INC.
December 1, 1970 - May 1, 1972
KOHLMEYER & CO.
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: 9/6/1955
Registered Representative ExaminationCurrent Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
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.
