Ronald A. Lague
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 Authur Lague, who also goes by Ronald Authur Lague Mr., was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 2006. Ronald had worked at 2 firms and has passed the Series 66, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2008 - December 31, 2015
FINANCIAL MANAGEMENT ASSOCIATES, LLC
May 30, 2007 - December 31, 2015
COMMONWEALTH FINANCIAL NETWORK
August 17, 2006 - December 31, 2015
COMMONWEALTH FINANCIAL NETWORK
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
FINANCIAL MANAGEMENT ASSOCIATES, LLC
CRD#: 109531 / SEC#: 801-58102
Contact information
Regulatory assets under management
| Total Number of Accounts | 24 |
| AUM (Assets Under Management) | $ 7,278,365 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/21/2023 | ||
| 06/30/2022 |
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.
