Ronald G. Sorrell
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 G Sorrell, who also goes by Ron Sorrell, Ronald Glen Sorrell, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1970. Ronald had worked at 9 firms and has passed the Series 63, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 17, 1997 - December 15, 2000
USALLIANZ SECURITIES, INC.
May 1, 1996 - October 15, 1997
WMA SECURITIES, INC.
September 21, 1993 - April 25, 1996
MONY SECURITIES CORPORATION
January 20, 1992 - June 27, 1992
AMR SECURITIES, INC.
September 22, 1989 - September 26, 1990
TITAN/VALUE EQUITIES GROUP, INC.
May 27, 1988 - June 27, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 1984 - September 26, 1990
TITAN/VALUE EQUITIES GROUP, INC.
March 6, 1978 - July 5, 1984
AMERICAN PACIFIC SECURITIES CORPORATION
June 29, 1976 - May 10, 1978
CAPITOL SECURITIES COMPANY
February 17, 1970 - September 2, 1977
INTERNATIONAL 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 1
Date: 6/21/1960
Registered Representative ExaminationSeries 00
Date: 1/5/1973
General Securities Principal ExaminationCurrent Firm
USALLIANZ SECURITIES, INC.
CRD#: 40875 / SEC#: , 8-49216
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | SHAREHOLDER | |
| HOWELL, RUTH ANNETTE | CHIEF COMPLIANCE OFFICER, COMPLIANCE REGISTERED OPTIONS PRINCIPAL | |
| INGERSOLL, THADDEUS WINTHROP III | COMPLIANCE MANAGER, SENIOR REGISTERED OPTIONS PRINCIPAL | 2616975 |
| JORGENSEN, MICHAEL JAMES | PRESIDENT | 2676329 |
| REITAN, EMILY SUZANNE | CHIEF FINANCIAL OFFICER & TREASURER | 5209812 |
| VITIELLO, VINCENT GERARD | CHAIRMAN OF THE BOARD | 1059845 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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