Ronald J. Wissig
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 James Wissig was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1969. Ronald had worked at 7 firms and has passed the Series 63, SIE 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
December 10, 2015 - July 31, 2018
ESSEX SECURITIES LLC
April 1, 2014 - September 3, 2015
NEXT FINANCIAL GROUP, INC.
September 5, 2002 - April 3, 2014
PRINCIPAL SECURITIES, INC.
January 21, 1992 - August 22, 2002
WOODBURY FINANCIAL SERVICES, INC.
November 15, 1989 - January 21, 1992
TOWER SQUARE SECURITIES, INC.
September 21, 1976 - December 20, 1989
WOODBURY FINANCIAL SERVICES, INC.
October 2, 1973 - November 30, 1978
MAYFLOWER SECURITIES CO., INC.
June 3, 1969 - September 28, 1973
CONTINENTAL ESTATE PLANNING ASSOCIATES, INC.
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: 11/1/1968
Registered Representative ExaminationCurrent Firm
ESSEX SECURITIES LLC
CRD#: 46605 / SEC#: , 8-51472
Contact information
FINRA licenses (38 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
