Ronald L. Flores
Professional summary
Ronald Locatelli Flores, who also goes by Ronnie Flores, is a registered financial advisor currently at CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. located in Los Angeles, California.
Ronald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Ronald has worked at 2 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Locatelli Flores's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 30, 2024 - Present
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
Office #1: 11100 Santa Monica Blvd. 18th Floor, Los Angeles, CA, 90025February 5, 2011 - April 6, 2011
OSAIC SERVICES, INC.
Primary Firm SEC Registration
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CRD#: 312837 / SEC#: 801-121267
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/30/2024)
(11/13/2024)
(10/2/2024)
(10/3/2024)
(10/2/2024)
(10/2/2024)
Exams
Current Firm
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.
CRD#: 312837 / SEC#: 801-121267
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 12,073 |
| AUM (Assets Under Management) | $ 42,713,999,861 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 07/28/2023 | ||
| 10/26/2022 |
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.
