Ronald M. Urvater
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 Martin Urvater was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1974. Ronald had worked at 5 firms and has passed the Series 63, Series 7, F04 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
June 21, 2010 - October 15, 2013
BERNARD HEROLD & CO., INC.
January 18, 2006 - January 4, 2010
BERNARD HEROLD & CO., INC.
May 15, 1998 - September 23, 1999
BERNARD HEROLD & CO., INC.
February 14, 1997 - January 3, 2006
AURORA CAPITAL LLC
September 28, 1995 - October 17, 1996
HAMPSHIRE SECURITIES CORPORATION
December 6, 1983 - March 10, 1986
BERNARD HEROLD & CO., INC.
November 28, 1979 - October 17, 1983
J. E. SHEEHAN & COMPANY, INC.
June 4, 1974 - September 28, 1979
ALLEN & COMPANY LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
F04
Date: 6/16/1980
Financial Principal ExaminationSeries 00
Date: 6/3/1974
General Securities Principal ExaminationCurrent Firm
BERNARD HEROLD & CO., INC.
CRD#: 6193 / SEC#: , 8-17005
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HEROLD, LAWRENCE STEPHEN | CHAIRMAN, PRESIDENT, ASST SEC, TREAS, DIR, CHIEF COMPLIANCE OFFICER | 870531 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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