Ronald D. Armitage
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 David Armitage was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1962. Ronald had worked at 7 firms and has passed the Series 63, Series 55, Series 7, Series 1, Series 000, Series 24, Series 14, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2000 - December 9, 2002
DELTA ASSET MANAGEMENT COMPANY, LLC
March 4, 1999 - November 30, 2000
LCP CAPITAL CORP.
April 6, 1995 - March 10, 1999
RUSSO SECURITIES INC.
January 10, 1990 - September 27, 1990
LCP CAPITAL CORP.
May 3, 1989 - January 1, 1990
STERLING & YORKE SECURITIES CORP.
August 9, 1985 - February 9, 1989
LADENBURG THALMANN & CO. INC.
July 15, 1970 - July 20, 1977
UBS ASSET MANAGEMENT (US) INC.
May 2, 1962 - March 29, 1985
NATIXIS SECURITIES AMERICAS 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
Series 55
Date: 4/13/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 7/19/1962
Registered Representative ExaminationSeries 000
Date: 5/2/1962
General Securities Principal ExaminationSeries 8
Date: 7/21/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 12/15/1975
Registered Principal ExaminationCurrent Firm
DELTA ASSET MANAGEMENT COMPANY, LLC
CRD#: 39923 / SEC#: , 8-48888
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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