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RG

Ronald W. Gale

BCW SECURITIES LLC
Westport, CT 06880
Some features on this profile are disabled
CRD#: 5091498
RG

Professional summary

Ronald Whitney Gale is a registered financial professional currently at BCW SECURITIES LLC located in Westport, Connecticut.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 2006. Ronald has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald Whitney Gale's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 13, 2024 - Present

BCW SECURITIES LLC

Office #1: 55 Post Road West, Suite 200, Westport, CT 06880Office #2: 55 Post Road West, Suite 200, Westport, CT 06880
BD
CRD#: 144930
Westport, CT
Past

June 12, 2006 - November 27, 2023

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(3/13/2024)
RR
New Jersey
(3/13/2024)
RR
New York
(3/13/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/23/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/9/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BCW SECURITIES LLC
BCW SECURITIES LLC

CRD#: 144930 / SEC#: , 8-67685

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
55 Post Road West, Suite 200, Westport, CT 06880
Mailing Address
55 Post Road West, Suite 200, Westport, CT 06880
Phone number
(203) 983-3350
Established
Delaware since 05/24/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RIVERSIDE MANAGEMENT GROUP LLC100% DIRECT OWNER
BERNEGGER, MARK ANGELOCEO/CCO/GSP4957208
CARPENTER, DAVID JAMESGENERAL SECURITIES PRINCIPAL
VIGLIAROLO, JOSEPH CHARLESFINOP4880434

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.

Company Information

BCW SECURITIES LLC

CRD#: 144930Westport, CT 06880

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