Ronald T. Dicks
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 Todd Dicks, who also goes by Ron Dicks, Ronald T Dicks, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1973. Ronald had worked at 14 firms and has passed the Series 65, Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2010 - October 31, 2014
FINTEGRA, LLC
August 11, 2003 - July 7, 2010
VFINANCE INVESTMENTS, INC
September 2, 1998 - September 3, 2003
JANNEY MONTGOMERY SCOTT LLC
May 12, 1997 - September 4, 1998
FIRST UNION BROKERAGE SERVICES, INC.
January 28, 1995 - May 20, 1997
UBS FINANCIAL SERVICES INC.
January 25, 1994 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
December 5, 1988 - February 7, 1994
RAYMOND JAMES & ASSOCIATES, INC.
February 3, 1981 - December 14, 1988
THOMSON MCKINNON SECURITIES INC.
November 14, 1978 - February 15, 1981
E. F. HUTTON & COMPANY INC
November 22, 1977 - December 9, 1978
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
December 22, 1975 - November 17, 1976
SHEARSON HAYDEN STONE INC.
April 23, 1973 - December 13, 1975
CITIGROUP GLOBAL MARKETS INC.
April 3, 1973 - May 9, 1973
D. H. BLAIR & COMPANY
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
PC
Date: 1/20/1988
AMEX Put and Call ExamSeries 1
Date: 3/29/1973
Registered Representative ExaminationCurrent Firm
FINTEGRA, LLC
CRD#: 16741 / SEC#: 801-56275, 8-34434
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINTEGRA HOLDINGS, LLC | SHAREHOLDERS | |
| CAURRO, STEPHEN ANTHONY | BOARD OF DIRECTORS | 5845813 |
| CONNER, DANIEL | BOARD OF DIRECTORS | |
| SCHMITZ, DOUGLAS GENE | BOARD OF DIRECTORS | 1771132 |
| SCHUH, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER, FINOP | 1036839 |
| WALTER, KENNETH JOHN | BOARD OF DIRECTORS | 5845803 |
| WEBER, DOREEN LEA | PRESIDENT/CEO/CCO | 1368639 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
