Ronald G. Wroble
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 Gene Wroble, who also goes by Ronald Gene Wroble Jr, Ronald Wroble, Ron Wroble Jr, Ronald Gene Wroble, Ronald Wroble Jr, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 2015. Ronald had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2023 - March 24, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 25, 2022 - January 10, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 4, 2022 - March 24, 2023
FIDELITY BROKERAGE SERVICES LLC
July 26, 2017 - March 2, 2021
EDWARD JONES
June 2, 2017 - March 2, 2021
EDWARD JONES
August 25, 2016 - May 24, 2017
BANKERS LIFE SECURITIES, INC.
January 5, 2015 - November 6, 2015
MML INVESTORS SERVICES, LLC
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
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
