Ronald Stein
Professional summary
Ronald Stein 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 professional and started their career in finance in 1973. Prior to being barred, Ronald had worked at 19 firms, which includes HUNTER WORLD MARKETS INC., ANDRICK SECURITIES CORP., INTRA NETWORK SECURITIES INC., MALORY INVESTMENTS LLC, AMERIVET SECURITIES INC., CANON SECURITIES LLC, PROVIDENTIAL SECURITIES INC., NEWPOINT SECURITIES LLC, TRANSGLOBAL CAPITAL CORPORATION, APOGEE FINANCIAL GROUP, GLOBAL STRATEGIES GROUP INC., TOLUCA PACIFIC SECURITIES CORP., HORNBLOWER & WEEKS INC., PINEBRIDGE SECURITIES LLC, DAVID M POLEN SECURITIES LLC, THE QUANTUM MATRIX CORP., LEHMAN BROTHERS INC., RUSSELL INVESTMENTS IMPLEMENTATION SERVICES LLC, BOSTON PARTNERS SECURITIES L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 2004 - July 28, 2004
HUNTER WORLD MARKETS, INC.
July 10, 2003 - March 22, 2004
ANDRICK SECURITIES CORP.
February 25, 2003 - July 14, 2003
INTRA NETWORK SECURITIES, INC.
August 22, 2001 - December 3, 2007
MALORY INVESTMENTS, LLC
July 6, 2001 - October 30, 2002
INTRA NETWORK SECURITIES, INC.
March 6, 2001 - December 1, 2001
AMERIVET SECURITIES, INC.
January 26, 2001 - July 31, 2001
CANON SECURITIES, LLC
July 25, 2000 - August 31, 2000
PROVIDENTIAL SECURITIES, INC.
May 9, 2000 - February 7, 2001
NEWPOINT SECURITIES, LLC
March 25, 1996 - June 20, 1996
HUNTER WORLD MARKETS, INC.
January 24, 1996 - November 15, 1999
TRANSGLOBAL CAPITAL CORPORATION
February 22, 1995 - October 9, 1995
APOGEE FINANCIAL GROUP
November 7, 1994 - November 30, 1995
GLOBAL STRATEGIES GROUP, INC.
January 25, 1994 - October 21, 1994
TOLUCA PACIFIC SECURITIES CORP.
May 24, 1993 - October 13, 1993
HORNBLOWER & WEEKS, INC.
May 1, 1992 - September 2, 1992
PINEBRIDGE SECURITIES LLC
February 25, 1989 - May 8, 1990
DAVID M POLEN SECURITIES, LLC
June 17, 1986 - July 7, 1986
THE QUANTUM MATRIX CORP.
May 30, 1985 - March 9, 1987
LEHMAN BROTHERS INC.
August 11, 1981 - July 5, 1983
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
December 11, 1973 - September 10, 1981
BOSTON PARTNERS SECURITIES, L.L.C.
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: 12/6/1973
Registered Representative ExaminationSeries 40
Date: 6/27/1974
Registered Principal ExaminationCurrent Firm
HUNTER WORLD MARKETS, INC.
CRD#: 38755 / SEC#: , 8-48387
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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