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RM

Ronald C. Mims

ACADEMY SECURITIES
Del Mar, CA 92014
Some features on this profile are disabled
CRD#: 5637540
RM

Professional summary

Ronald Chance Mims, who also goes by Chance Mims, R. Chance Mims, is a registered financial professional currently at ACADEMY SECURITIES, INC. located in Del Mar, California.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 2009. Ronald has worked at 2 firms and has passed the Series 63, Series 99TO, Series 72, Series 52TO, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chance Mims | R. Chance Mims

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 Chance Mims's 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

October 12, 2009 - Present

ACADEMY SECURITIES, INC.

Office #1: 1302 Camino Del Mar, Del Mar, CA 92014
BD
CRD#: 17433
Del Mar, CA
Past

February 26, 2009 - October 5, 2009

PICKWICK CAPITAL PARTNERS, LLC

BD
CRD#: 130672
SAN DIEGO, CA

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
California
(5/26/2010)
RR
Colorado
(3/30/2012)
RR
Indiana
(4/17/2015)
RR
Louisiana
(5/21/2012)
RR
Maryland
(1/11/2012)
RR
Massachusetts
(4/8/2010)
RR
Michigan
(5/2/2012)
RR
Missouri
(5/15/2013)
RR
New York
(10/12/2009)
RR
Ohio
(4/23/2012)
RR
Oregon
(5/20/2013)
RR
Pennsylvania
(7/13/2011)
RR
South Carolina
(6/14/2012)
RR
Texas
(8/22/2013)
RR
Washington
(5/1/2013)
RR
Wisconsin
(7/24/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 8/14/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative 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: 2/25/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/9/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ACADEMY SECURITIES, INC.
ACADEMY ASSET MANAGEMENT | STERLING INVESTMENT SERVICES, INC. | LASALLE BROKERAGE SERVICES, INC. | ACADEMY SECURITIES, INC.

CRD#: 17433 / SEC#: , 8-35173

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

Main Address
622 3rd Avenue 12th Floor, New York, NY 10017
Mailing Address
622 3rd Avenue 12th Floor, New York, NY 10017
Phone number
(646) 736-3995
Established
Delaware since 11/07/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (38 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MIMS, RONALD CHANCECHAIRMAN, CEO5637540
GRAHAM, ANTHONY RFINOP4959159
GRAHAM, ANTHONY RPRINCIPAL OPERATIONS OFFICER4959159
GRAHAM, ANTHONY RPRINCIPAL FINANCIAL OFFICER4959159
GRAHAM, ANTHONY RCOO4959159
MCCONKEY, PHILIP JOSEPHVICE CHAIRMAN3253139
WILCOX, SPENCER HAMILTONPRESIDENT5802885
BOYD, MICHAEL BARTOWCHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER2557814

Disclosures

Regulatory Event1

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

ACADEMY SECURITIES, INC.

CRD#: 17433Del Mar, CA 92014

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