Roney H. Ebling
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.
Roney Hilliard Ebling, who also goes by Hilly Ebling, R. Hilliard Ebling, was a registered financial professional .
Roney is a previously registered financial professional and started their career in finance in 1999. Roney had worked at 7 firms and has passed the Series 66, Series 63, Series 31, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2018 - February 1, 2019
CHARLES SCHWAB INVESTMENT ADVISORY, INC
July 28, 2017 - March 30, 2018
THOMASPARTNERS, INC.
November 10, 2010 - March 30, 2018
WINDHAVEN INVESTMENT MANAGEMENT, INC.
February 17, 2009 - November 18, 2010
WINDWARD INVESTMENT MANAGEMENT INC
November 19, 2007 - February 4, 2009
MORGAN STANLEY & CO. LLC
October 23, 2006 - February 4, 2009
MORGAN STANLEY & CO. LLC
October 21, 2004 - November 28, 2006
CREDIT SUISSE SECURITIES (USA) LLC
June 17, 1999 - July 1, 2003
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, 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
CHARLES SCHWAB INVESTMENT ADVISORY, INC
CRD#: 151739 / SEC#: 801-70737
Contact information
Regulatory assets under management
| Total Number of Accounts | 495,347 |
| AUM (Assets Under Management) | $ 66,080,242,938 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2021 |
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.
