Ronald C. Holliday
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 Carroll Holliday was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1977. Ronald had worked at 3 firms and has passed the Series 63, Series 7, Series 52, Series 1, Series 27, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 1988 - May 13, 1989
PEACOCK, HISLOP, STALEY & GIVEN, INC.
December 21, 1987 - April 8, 1989
CORNELL SECURITIES, INC.
April 6, 1977 - November 20, 1987
JHM, 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: 4/12/1977
Registered Representative ExaminationCurrent Firm
PEACOCK, HISLOP, STALEY & GIVEN, INC.
CRD#: 21477 / SEC#: , 8-38994
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
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.
