Ronald B. Doran
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 Bruce Doran was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1968. Ronald had worked at 8 firms and has passed the PC, Series 000 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
May 10, 1990 - February 15, 2013
C. L. KING & ASSOCIATES, INC.
April 4, 1978 - May 11, 1990
GLEACHER & COMPANY SECURITIES, INC.
June 14, 1976 - January 16, 1978
June 14, 1976 - January 2, 1979
November 21, 1974 - June 28, 1976
September 10, 1973 - December 2, 1974
October 26, 1971 - August 29, 1974
December 11, 1968 - May 8, 1971
SCOTT PLANNING COMPANY, 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
PC
Date: 4/10/1978
AMEX Put and Call ExamSeries 000
Date: 2/15/1973
General Securities Principal ExaminationSeries 1
Date: 12/6/1968
Registered Representative ExaminationCurrent Firm
C. L. KING & ASSOCIATES, INC.
CRD#: 6183 / SEC#: , 8-17025
Contact information
FINRA licenses (36 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEIR, CANDACE KING | PRESIDENT/DIRECTOR, CEO | 269796 |
| WEIR, AMELIA FARLEY | SHAREHOLDER | 1497338 |
| WEIR, KATHERINE BROUSSARD | SHAREHOLDER | 1497339 |
| GIMON, RICHARD JAMES | CHIEF COMPLIANCE OFFICER, DIRECTOR | 3217139 |
| MCMILLEN, PETER JOHN | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2061930 |
| ZORIC, STEVEN | COO | 4074487 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
| Bond | 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.
