Ronald R. Rose
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 Ray Rose was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1974. Ronald had worked at 8 firms and has passed the Series 63, SIE, Series 5, Series 1, Series 4 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 30, 1998 - December 31, 2019
AMERICAN INVESTORS COMPANY
April 5, 1991 - December 31, 2019
AMERICAN INVESTORS COMPANY
November 6, 1986 - April 15, 1991
ASSOCIATED SECURITIES CORP.
July 16, 1985 - November 17, 1986
CETERA WEALTH SERVICES, LLC
January 10, 1979 - July 31, 1985
LPL FINANCIAL LLC
July 11, 1977 - January 10, 1979
SOUTHMARK FINANCIAL SERVICES, INC.
March 15, 1976 - August 17, 1977
DAVE FRIES AND ASSOCIATES
February 25, 1976 - May 17, 1976
INTEGRATED RESOURCES EQUITY CORPORATION
July 1, 1974 - March 4, 1976
REYNOLDS SECURITIES, INC.
Primary Firm SEC Registration
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
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 5
Date: 4/20/1987
Interest Rate Options ExaminationSeries 1
Date: 6/25/1974
Registered Representative ExaminationSeries 40
Date: 10/13/1977
Registered Principal ExaminationCurrent Firm
AMERICAN INVESTORS COMPANY
CRD#: 38 / SEC#: 801-57838, 8-17613
Contact information
SEC notice filing (12 States and Territories)
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,530 |
| AUM (Assets Under Management) | $ 578,062,390 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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