Ronald D. Ree
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 Dean Ree, who also goes by Ron Ree, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1970. Ronald had worked at 16 firms and has passed the Series 63, PC, Series 000, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2012 - August 5, 2013
BURRILL SECURITIES
June 10, 2010 - September 27, 2012
ROTH CAPITAL PARTNERS, LLC
September 7, 2005 - June 11, 2010
RODMAN & RENSHAW, LLC
March 1, 2005 - August 17, 2005
THINKEQUITY LLC
December 3, 2002 - April 12, 2005
NEEDHAM & COMPANY, LLC
May 21, 1998 - December 20, 2002
CANACCORD GENUITY LLC
January 15, 1996 - June 18, 1998
VECTOR SECURITIES INTERNATIONAL, INC.
March 9, 1994 - October 23, 1995
UBS FINANCIAL SERVICES INC.
January 25, 1993 - March 28, 1994
HANIFEN, IMHOFF INC.
April 15, 1992 - January 21, 1993
CRAIG-HALLUM, INC.
August 14, 1987 - April 16, 1992
UBS FINANCIAL SERVICES INC.
July 2, 1982 - February 6, 1985
HAMBRECHT & QUIST LLC
February 2, 1982 - July 8, 1982
MONTGOMERY SECURITIES
August 11, 1978 - December 9, 1981
BECKER PARIBAS INCORPORATED
January 15, 1975 - September 12, 1978
WHITE, WELD & CO. INCORPORATED
September 29, 1970 - January 15, 1975
WHITE, WELD & CO., INCORPORATED
September 28, 1970 - August 10, 1987
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 000
Date: 9/28/1970
General Securities Principal ExaminationSeries 1
Date: 9/28/1970
Registered Representative ExaminationSeries 40
Date: 1/11/1979
Registered Principal ExaminationCurrent Firm
BURRILL SECURITIES
CRD#: 140221 / SEC#: , 8-67296
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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