Ronald J. Roemershauser
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 Joseph Roemershauser was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1971. Ronald had worked at 6 firms and has passed the Series 63, Series 5, PC 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
November 30, 2011 - February 1, 2012
GLOBAL HUNTER SECURITIES, LLC
January 15, 2008 - December 3, 2009
AVANTAX INVESTMENT SERVICES, INC.
October 31, 2003 - February 10, 2006
HOWARD WEIL INCORPORATED
April 26, 2000 - October 31, 2003
LEGG MASON WOOD WALKER, INCORPORATED
April 27, 1985 - April 26, 2000
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
October 27, 1971 - January 11, 1973
SCHARFF & JONES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 11/17/1981
Interest Rate Options ExaminationPC
Date: 7/5/1979
AMEX Put and Call ExamSeries 1
Date: 10/25/1971
Registered Representative ExaminationCurrent Firm
GLOBAL HUNTER SECURITIES, LLC
CRD#: 123003 / SEC#: , 8-65552
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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