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RS

Ronald G. Spomer

Some features on this profile are disabled
CRD#: 4210676
RS

Professional summary

Ronald George Spomer II was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ronald is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Ronald had worked at 3 firms, which includes FORESTERS EQUITY SERVICES INC., PARK AVENUE SECURITIES LLC, MUTUAL OF OMAHA INVESTOR SERVICES INC..

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

December 22, 2008 - June 17, 2009

FORESTERS EQUITY SERVICES, INC.

BD
CRD#: 18464
SAN DIEGO, CA
Past

June 28, 2007 - December 15, 2008

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
CODY, WY
Past

March 9, 2007 - December 15, 2008

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
CODY, WY
Past

January 5, 2007 - March 5, 2007

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA
CRD#: 611
CODY, WY
Past

September 7, 2000 - March 5, 2007

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
OMAHA, NE

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

State Security Law Exam
IAR
Series 65
Date: 12/21/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/6/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 9/6/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FE
FORESTERS EQUITY SERVICES, INC.
FORESTERS EQUITY SERVICES, INC. | FORESTERS SECURITIES, INC.

CRD#: 18464 / SEC#: 801-77880, 8-36703

BD
Terminated by SEC on 02/11/2019
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Contact information

Main Address
6640 Lusk Blvd #a202, San Diego, CA 92121
Mailing Address
Phone number
Established
California since 05/15/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART II (3/27/2018)

Direct owners and executive officers

NamePositionCRD#
THE INDEPENDENT ORDER OF FORESTERS ("IOF")OWNER
GERB, JASON HARRISCHIEF COMPLIANCE OFFICER3021815
GIL, JUDITH ELAINEVICE PRESIDENT COMPLIANCE2707895
MALECHUK, LAURA ANNFINANCIAL OPERATIONS PRINCIPAL1105982
MCDONOUGH, MARK EVP OPERATIONS4254608
REABURN, PAUL DOUGLASDIRECTOR4125521
SMITH, FRANK LEOPRESIDENT2080590
SMITH, FRANK LEODIRECTOR2080590

Disclosures

Regulatory Event2

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

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

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