Ronald D. Grundhauser
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 David Grundhauser, who also goes by Ron D Grundhauser, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 2000. Ronald had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2019 - November 21, 2022
N.I.S. FINANCIAL SERVICES, INC.
November 30, 2015 - February 6, 2019
SLD AMERICA EQUITIES, INC.
August 31, 2015 - November 16, 2015
SELECT CAPITAL CORPORATION
January 2, 2013 - April 8, 2015
GRIFFIN CAPITAL SECURITIES, LLC
November 9, 2001 - August 15, 2012
ALLIANZ LIFE FINANCIAL SERVICES, LLC
May 4, 2000 - October 31, 2001
IDS LIFE INSURANCE COMPANY
May 4, 2000 - October 31, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
March 27, 2000 - May 2, 2000
PIPER SANDLER & 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
Current Firm
N.I.S. FINANCIAL SERVICES, INC.
CRD#: 5361 / SEC#: , 8-15919
Contact information
FINRA licenses (30 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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