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RM

Ronald Marvin

Some features on this profile are disabled
CRD#: 722277
RM

Professional summary

Ronald Marvin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ronald is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Ronald had worked at 6 firms, which includes SLOAN SECURITIES CORP., GREENWICH GLOBAL LLC, MORGAN STANLEY DW INC., EGS SECURITIES CORP., UBS FINANCIAL SERVICES INC., LEHMAN BROTHERS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ron Marvin

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 7, 2004 - December 23, 2009

SLOAN SECURITIES CORP.

BD
CRD#: 17930
NORWALK, CT
Past

January 2, 2004 - August 20, 2004

GREENWICH GLOBAL, LLC

BD
CRD#: 37304
WILTON, CT
Past

February 15, 2000 - January 5, 2004

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

August 9, 1993 - January 28, 2000

EGS SECURITIES CORP.

BD
CRD#: 28347
NEW YORK, NY
Past

April 19, 1988 - August 19, 1993

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

June 1, 1984 - April 13, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

January 19, 1981 - June 1, 1984

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/6/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/1981
General Securities Representative Examination

Current Firm

SS
SLOAN SECURITIES CORP.
SLOAN SECURITIES CORP.

CRD#: 17930 / SEC#: , 8-35955

BD
Cancelled by SEC on 09/21/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
New Jersey since 01/21/1986
Firm type
Corporation
Fiscal year end
October
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ACKERMAN, JAMES CURTISCEO & PRESIDENT1641924
HERITY, THOMAS FRANCISCHIEF COMPLIANCE OFFICER1283240
LAURENT, ARTHUR JAMESFINANCIAL & OPERATIONS PRINCIPAL717267

Disclosures

Regulatory Event6
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

SLOAN SECURITIES CORP.

CRD#: 17930

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