Ronald D. Zwicker
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 Douglas Zwicker MR., who also goes by Ronald Douglas Zwicker, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 2006. Ronald had worked at 4 firms and has passed the Series 63, SIE and Series 38 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2019 - August 16, 2024
VENTUM ADVISORS CORP.
April 1, 2014 - April 25, 2016
VIII CAPITAL CORP.
October 26, 2009 - March 18, 2014
RICHARDSON GMP (USA) CORP.
August 21, 2006 - October 22, 2009
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
Primary Firm SEC Registration
VENTUM ADVISORS CORP.
CRD#: 299365 / SEC#: 801-114720
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 38
Date: 8/19/2006
Canada Module of the General Securities Registered Representative (Without Options Questions)Current Firm
VENTUM ADVISORS CORP.
CRD#: 299365 / SEC#: 801-114720
Contact information
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 18 |
| AUM (Assets Under Management) | $ 25,380,742 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
