Ronald D. Ross
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 Ross, who also goes by Ronald D. Rosefield, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1972. Ronald had worked at 7 firms and has passed the Series 63, Series 65 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
January 15, 2004 - December 31, 2008
GBS FINANCIAL CORP.
April 29, 1994 - August 2, 2012
GBS FINANCIAL CORP.
May 14, 1985 - April 19, 1994
INVESTMENT TECHNOLOGY CORPORATION INTERNATIONAL
September 16, 1977 - May 17, 1985
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
July 26, 1973 - February 27, 1976
BACHE & CO., INCORPORATED
June 1, 1972 - June 8, 1973
WEIS SECURITIES, 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: 5/22/1972
Registered Representative ExaminationCurrent Firm
GBS FINANCIAL CORP.
CRD#: 16906 / SEC#: 801-60744, 8-34631
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
