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RG

Ronald J. Giaier

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CRD#: 4077193
RG

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 J. Giaier was a registered financial professional .

Ronald is a previously registered financial professional and started their career in finance in 2000. Ronald had worked at 1 firm and has passed the Series 7 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 27, 2000 - June 27, 2014

CONNELL SECURITIES LLC

BD
CRD#: 17830
BERKELEY HEIGHTS, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 3/24/2000
General Securities Representative Examination

Current Firm

CS
CONNELL SECURITIES LLC
CONNELL SECURITIES CORPORATION | CONNELL SECURITIES LLC

CRD#: 17830 / SEC#: , 8-35875

BD
Terminated by SEC on 11/26/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 03/08/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
THE CONNELL COMPANYMEMBER
CONNELL, DUANEPRESIDENT, EX. REPRESENTATIVE, MANAGING DIRECTOR, SECRETARY & TREASURER2703902
CONNELL, GROVERDIRECTOR1490012
CONNELL, TERRYDIRECTOR1490018
FREIDIN, DAVID STUARTCHIEF COMPLIANCE OFFICER & SENIOR VICE PRESIDENT1998940

Disclosures

Regulatory Event1

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.

Company Information

CONNELL SECURITIES LLC

CRD#: 17830

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