Ronald A. Thomann
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 Albert Thomann was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 2003. Ronald had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2011 - December 3, 2020
RACE ROCK CAPITAL LLC
January 8, 2009 - June 28, 2010
COMPASS CAPITAL CORPORATION
January 6, 2009 - June 28, 2010
COMPASS SECURITIES CORPORATION
November 13, 2007 - October 10, 2008
MOORS & CABOT, INC.
July 20, 2006 - January 29, 2009
WINCHESTER INTERNATIONAL GROUP LLC
January 13, 2003 - January 26, 2006
FAIRFIELD HEATHCLIFF CAPITAL LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RACE ROCK CAPITAL LLC
CRD#: 153363 / SEC#: , 8-68528
Contact information
FINRA licenses (9 States and Territories)
Red Flags
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