Ronald L. Strauss
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 Lee Strauss was a registered financial advisor .
Ronald is a previously registered financial advisor and started their career in finance in 1969. Ronald had worked at 5 firms and has passed the Series 63, Series 5, PC, Series 41, Series 16, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2005 - October 25, 2007
SF INVESTMENTS, INC.
April 26, 2001 - March 4, 2016
PEKIN HARDY STRAUSS, INC.
March 28, 1998 - December 31, 2004
ARDMORE PARTNERS, INC.
January 30, 1978 - January 17, 1996
WILLIAM BLAIR
August 14, 1969 - March 4, 1978
MESIROW FINANCIAL, 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
Series 5
Date: 11/12/1981
Interest Rate Options ExaminationPC
Date: 6/16/1977
AMEX Put and Call ExamSeries 41
Date: 11/30/1976
NYSE Allied Member ExaminationSeries 1
Date: 8/6/1969
Registered Representative ExaminationSeries 40
Date: 11/3/1976
Registered Principal ExaminationCurrent Firm
SF INVESTMENTS, INC.
CRD#: 6564 / SEC#: 801-66533, 8-34069
Contact information
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIEL SHAPIRO GIFT TRUST | SHAREHOLDER - TRUSTEE IS A CONTOL PERSON; NON -VOTING SHARES | |
| LESLEY SHAPIRO BEIDER GIFT TRUST | SHAREHOLDER - TRUSTEE IS NOT A CONTROL PERSON; NON-VOTING SHARES | |
| STEVEN SHAPIRO GIFT TRUST | SHAREHOLDER - TRUSTEE IS A CONTROL PERSON; NON-VOTING SHARES | |
| JUST, GARY ALAN | CHIEF FINANCIAL OFFICER/FINANCIAL AND OPERATIONS PRINCIPAL, CHIEF COMPLIANCE OFFICER | 2101902 |
| SHAPIRO BEIDER, LESLEY E | TRUSTEE LESLEY SHAPIRO BEIDER GIFT TRUST | |
| SHAPIRO, DANIEL MARK | CEO, TRUSTEE OF DANIEL SHAPIRO GIFT TRUST | 1989147 |
| SHAPIRO, STEVEN ARTHUR | VICE PRESIDENT/CHIEF INVESTMENT OFFICER, TRUSTEE STEVEN SHAPIRO GIFT TRUST | 2153746 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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