Ronald A. Roeske
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 Alfred Roeske was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1972. Ronald had worked at 12 firms and has passed the Series 65, Series 63, 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
March 8, 1990 - December 9, 1991
BRAUER & ASSOCIATES, INC.
August 8, 1988 - September 11, 1989
BRAUER & ASSOCIATES, INC.
September 9, 1987 - April 4, 1988
ROYAL HUTTON SECURITIES CORP.
September 4, 1987 - October 20, 1987
KIMMINS SECURITIES, INC.
October 27, 1986 - April 23, 1987
UBS FINANCIAL SERVICES INC.
August 14, 1986 - August 23, 1986
CITIGROUP GLOBAL MARKETS INC.
April 23, 1986 - August 21, 1986
SECURITY SERVICE CORPORATION
February 25, 1986 - April 21, 1986
ROVAN SECURITIES CORPORATION
January 31, 1982 - September 16, 1985
KELLEY-ROESKE, INC.
August 14, 1980 - September 13, 1984
S. LEE PUCKETT, INC.
February 25, 1977 - October 15, 1983
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 17, 1975 - March 5, 1977
RAYMOND JAMES & ASSOCIATES, INC.
October 25, 1972 - August 20, 1974
HARTFORD VARIABLE ANNUNITY LIFE INSURANCE CO
March 1, 1972 - March 15, 1975
RAYMOND JAMES & ASSOCIATES, INC.
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: 2/24/1972
Registered Representative ExaminationSeries 40
Date: 2/26/1976
Registered Principal ExaminationCurrent Firm
BRAUER & ASSOCIATES, INC.
CRD#: 18278 / SEC#: , 8-36375
Contact information
Documents
Red Flags
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