Ronald J. Cornish
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 Joe Cornish was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1979. Ronald had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2013 - December 31, 2019
SEQUOIA INVESTMENTS, INC.
January 5, 2006 - January 8, 2013
SCOTT & STRINGFELLOW, LLC
October 22, 2002 - January 12, 2006
BERGEN CAPITAL, INC.
April 17, 1998 - September 18, 2002
TEJAS SECURITIES GROUP, INC.
January 27, 1998 - March 23, 1998
FIRST MONTAUK SECURITIES CORP.
September 20, 1990 - January 9, 1998
MARION BASS SECURITIES CORPORATION
September 5, 1989 - September 12, 1990
FIRST UNION CAPITAL MARKETS CORP.
January 30, 1987 - August 26, 1989
CIBC WORLD MARKETS CORP.
April 23, 1985 - December 5, 1986
A. G. EDWARDS & SONS, INC.
May 27, 1982 - May 1, 1985
HENDERSON, FEW & CO.
July 10, 1980 - March 18, 1982
HERETH, ORR & JONES, INC.
February 25, 1980 - July 9, 1980
FIRST CITIZENS MUNICIPAL CORPORATION
May 24, 1979 - February 3, 1980
HERETH, ORR & JONES, 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
Current Firm
SEQUOIA INVESTMENTS, INC.
CRD#: 39341 / SEC#: , 8-48712
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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.
