Ronald G. Tracy
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 George Tracy was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1972. Ronald had worked at 11 firms and has passed the Series 63, SIE, Series 5, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2017 - November 26, 2018
FOREST SECURITIES,INC.
March 25, 2013 - November 15, 2017
AMERICAN INDEPENDENT SECURITIES GROUP, LLC
April 11, 2012 - March 25, 2013
JHS CAPITAL ADVISORS, LLC
September 18, 1996 - April 11, 2012
PAULSON INVESTMENT COMPANY LLC
July 16, 1993 - September 19, 1996
DAIN RAUSCHER INCORPORATED
November 13, 1990 - July 21, 1993
LEHMAN BROTHERS INC.
January 9, 1990 - January 7, 1991
MEYERS SECURITIES CORPORATION
November 22, 1988 - January 11, 1990
WEDBUSH SECURITIES INC.
June 20, 1985 - January 11, 1990
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
July 12, 1982 - June 11, 1985
SUTRO & CO. INCORPORATED
January 19, 1972 - August 3, 1982
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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: 10/12/1981
Interest Rate Options ExaminationPC
Date: 5/5/1977
AMEX Put and Call ExamSeries 1
Date: 1/10/1972
Registered Representative ExaminationSeries 8
Date: 11/26/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FOREST SECURITIES,INC.
CRD#: 16255 / SEC#: , 8-33568
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIVE TRIBAL ALLIANCE, LLC | SOLE SHAREHOLDER | |
| DUNNE, MICHAEL FITZGERALD | PRESIDENT/COO/FINOP/CCO | 1676474 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
