Ronald B. Smith
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 Bernard Smith was a registered financial advisor .
Ronald is a previously registered financial advisor and started their career in finance in 1959. Ronald had worked at 12 firms and has passed the Series 65, Series 63, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2008 - December 18, 2008
SCOTTSDALE CAPITAL ADVISORS CORP
July 2, 2007 - June 26, 2008
REGAL SECURITIES, INC.
December 31, 2001 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
January 8, 2000 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
October 7, 1992 - October 7, 1992
LEHMAN BROTHERS INC.
September 11, 1992 - July 9, 1999
J.P. MORGAN SECURITIES LLC
June 26, 1984 - October 7, 1992
LEHMAN BROTHERS INC.
February 22, 1978 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 15, 1976 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
March 17, 1975 - September 14, 1976
KIDDER, PEABODY & CO., INCORPORATED
January 28, 1974 - April 24, 1975
BACHE & CO INCORPORATED
May 10, 1973 - March 13, 1974
MAYNARD MEREL & COMPANY
September 15, 1972 - June 6, 1973
LEGG MASON WOOD WALKER, INCORPORATED
March 23, 1959 - November 29, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 3/23/1959
Registered Representative ExaminationCurrent Firm
SCOTTSDALE CAPITAL ADVISORS CORP
CRD#: 118786 / SEC#: 801-60965, 8-53685
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
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.
