Ronald J. Harb
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 John Harb, who also goes by Ron Harb, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1976. Ronald had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 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
June 29, 2016 - January 2, 2018
KESTRA ADVISORY SERVICES, LLC
March 21, 2016 - January 2, 2018
KESTRA INVESTMENT SERVICES, LLC
October 8, 2003 - June 16, 2014
CREWS & ASSOCIATES, INC.
May 15, 2002 - August 13, 2003
GOVERNMENT CAPITAL SECURITIES CORPORATION
August 18, 1980 - June 6, 2000
STEPHENS
March 21, 1977 - September 15, 1980
UMIC, INC.
April 8, 1976 - April 12, 1977
STEWART-JOHNS MUNICIPAL SECURITIES, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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 40
Date: 11/21/1976
Registered Principal ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
