Ronald W. Daw
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 Weston Daw, who also goes by Ron Daw, was a registered financial advisor .
Ronald is a previously registered financial advisor and started their career in finance in 2011. Ronald had worked at 5 firms and has passed the Series 66, Series 63, Series 79TO, Series 7TO, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2020 - September 26, 2022
WEILD & CO.
October 26, 2017 - May 30, 2018
WEILD & CO.
July 7, 2014 - September 5, 2017
ORCHARD SECURITIES, LLC
February 10, 2012 - July 10, 2012
KNOX CAPITAL ADVISORS, LLC
January 10, 2012 - July 10, 2012
KCG SECURITIES, LLC
May 11, 2011 - January 11, 2012
ACAP FINANCIAL INC.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
WEILD & CO.
CRD#: 132398 / SEC#: , 8-66593
Contact information
FINRA licenses (52 States and Territories)
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.
