Ronald L. Tressler
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 Tressler was a registered financial advisor .
Ronald is a previously registered financial advisor and started their career in finance in 1973. Ronald had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2007 - July 12, 2017
FIDELITY BROKERAGE SERVICES LLC
August 30, 2004 - November 29, 2006
MML INVESTORS SERVICES, LLC
August 19, 2004 - November 29, 2006
MML INVESTORS SERVICES, LLC
November 14, 2003 - August 6, 2004
MONY SECURITIES CORPORATION
May 20, 2002 - August 6, 2004
MONY SECURITIES CORPORATION
April 5, 2002 - May 2, 2002
FIRST WESTERN ADVISORS
July 22, 1999 - January 14, 2002
BOFA DISTRIBUTORS, INC.
September 22, 1993 - July 28, 1999
KEYPORT FINANCIAL SERVICES CORP.
September 26, 1983 - June 10, 1993
PRUDENTIAL EQUITY GROUP, LLC
December 21, 1979 - September 26, 1983
E. F. HUTTON & COMPANY INC
November 25, 1977 - March 22, 1980
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 26, 1973 - December 5, 1973
METROPOLITAN LIFE INSURANCE COMPANY
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: 11/13/1977
Registered Representative ExaminationCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
