Ronald A. Samuel
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 Alexander Samuel, who also goes by Ronald A Samuel, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1970. Ronald had worked at 8 firms and has passed the Series 65, Series 63, Series 41, Series 5, Series 000, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2008 - December 1, 2009
NEW ENGLAND SECURITIES
August 25, 2005 - December 1, 2009
NEW ENGLAND SECURITIES
December 20, 2002 - November 12, 2003
INVESTMENT ADVISORS CORP
April 26, 2001 - August 23, 2005
BROKER DEALER FINANCIAL SERVICES CORP.
March 2, 1998 - May 11, 1999
ARCHER ALEXANDER SECURITIES CORPORATION
October 16, 1997 - December 31, 2014
UNDERWOOD ASSET MANAGEMENT, INC.
December 9, 1996 - August 27, 1997
ARCHER ALEXANDER SECURITIES CORPORATION
November 25, 1987 - September 3, 1996
HOWE BARNES HOEFER & ARNETT, INC.
January 15, 1973 - April 28, 1987
MESIROW FINANCIAL, INC.
June 2, 1970 - December 28, 1972
BECKER SECURITIES CORP.
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 41
Date: 7/21/1984
NYSE Allied Member ExaminationSeries 5
Date: 9/21/1981
Interest Rate Options ExaminationSeries 000
Date: 8/19/1970
General Securities Principal ExaminationSeries 1
Date: 8/29/1969
Registered Representative ExaminationCurrent Firm
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
