Ronald W. Weiss
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 Whitman Weiss was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1974. Ronald had worked at 12 firms and has passed the PC, Series 1 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
March 5, 2012 - February 7, 2014
BLACKBOOK CAPITAL, LLC
December 15, 2009 - October 14, 2010
COLUMBUS ADVISORY GROUP, LTD.
April 16, 2009 - December 17, 2009
GILFORD SECURITIES INCORPORATED
August 10, 2001 - May 9, 2008
DAVID LERNER ASSOCIATES, INC.
April 19, 1999 - May 12, 2008
SSH SECURITIES, INC.
April 1, 1996 - December 2, 1997
GILFORD SECURITIES INCORPORATED
August 9, 1994 - August 28, 1995
GLEACHER & COMPANY SECURITIES, INC.
October 20, 1992 - August 1, 1994
CITIGROUP GLOBAL MARKETS INC.
April 20, 1989 - November 4, 1992
RONALD WHITMAN WEISS FINANCIAL
November 22, 1977 - January 23, 1989
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
April 18, 1974 - November 8, 1974
SHEARSON, HAMMILL & CO., 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
PC
Date: 6/6/1977
AMEX Put and Call ExamSeries 1
Date: 4/2/1974
Registered Representative ExaminationSeries 40
Date: 3/20/1978
Registered Principal ExaminationCurrent Firm
BLACKBOOK CAPITAL, LLC
CRD#: 123234 / SEC#: , 8-65577
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OGELE, FRANKLIN IHENDU | CEO, PRESIDENT, FINOP, CCO | 2197820 |
| APEX HOMES, INC | MEMBER |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Judgment/Lien | 1 |
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.
