Ronald J. Surz
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 Joseph Surz, who also goes by Ron Surz, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1974. Ronald had worked at 11 firms and has passed the Series 65, Series 63, Series 3, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 17, 2017 - December 12, 2022
SORTINO INVESTMENT ANALYTICS
March 16, 2010 - April 11, 2025
PPCA, INC.
October 20, 2008 - November 3, 2009
TARGET DATE ANALYTICS LLC
March 7, 2006 - August 24, 2007
FUSION ANALYTICS SECURITIES LLC
January 25, 2006 - November 24, 2006
TZERO SECURITIES, LLC
November 11, 1999 - December 5, 2005
MARCH CAPITAL CORP.
May 28, 1992 - December 3, 1997
MARCH CAPITAL CORP.
January 7, 1987 - March 30, 1992
BECKER, BURKE ASSOCIATES, INC.
May 29, 1986 - July 1, 1986
SEI INVESTMENTS DISTRIBUTION CO.
July 13, 1978 - November 11, 1983
BECKER PARIBAS INCORPORATED
December 24, 1974 - July 13, 1978
BECKER SECURITIES INCORPORATED
July 11, 1974 - November 25, 1975
A G BECKER
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 1
Date: 7/5/1974
Registered Representative ExaminationSeries 40
Date: 11/29/1978
Registered Principal ExaminationCurrent Firm
SORTINO INVESTMENT ANALYTICS
CRD#: 287491 / SEC#:
Contact information
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.
