Frank E. Ronald
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.
Frank Eugene Ronald JR., who also goes by Frank Eugene Ronald Jr, Frank Eugene Ronald, Frank Eugene Ronald Jr Jr, Frank Eugene Ronald Jr. Jr, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1973. Frank had worked at 9 firms and has passed the Series 63, SIE, Series 31, PC, 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
February 1, 2016 - June 24, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
January 6, 2016 - June 24, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
June 1, 2009 - May 5, 2015
MORGAN STANLEY
June 1, 2009 - May 5, 2015
MORGAN STANLEY
November 10, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 10, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 1, 2003 - November 13, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - November 13, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 13, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 21, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 18, 1995 - June 28, 2000
UBS FINANCIAL SERVICES INC.
March 1, 1974 - October 24, 1995
CROWELL, WEEDON & CO.
July 2, 1973 - September 5, 1975
February 14, 1973 - April 16, 1974
DUPONT GLORE FORGAN INC
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
PC
Date: 6/2/1977
AMEX Put and Call ExamSeries 1
Date: 2/8/1973
Registered Representative ExaminationSeries 40
Date: 2/27/1978
Registered Principal ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
