Ronald J. Coleson
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 Jean Coleson was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1959. Ronald had worked at 7 firms and has passed the Series 63, Series 5, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 1989 - June 12, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 1, 1989 - June 12, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 1984 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
December 3, 1981 - August 8, 1989
THOMSON MCKINNON SECURITIES INC.
March 19, 1981 - November 5, 1981
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
January 5, 1981 - March 2, 1981
SCHNEIDER, BERNET & HICKMAN, INC.
September 26, 1978 - January 5, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 26, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
October 13, 1977 - June 22, 1978
HODGDON & COMPANY
April 6, 1959 - November 18, 1975
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 5
Date: 2/24/1986
Interest Rate Options ExaminationSeries 1
Date: 4/6/1959
Registered Representative ExaminationSeries 40
Date: 11/30/1972
Registered Principal ExaminationSeries 12
Date: 10/14/1966
NYSE Branch Manager ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
