Ronald P. Ardt
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 Paul Ardt, who also goes by Ron Ardt, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1981. Ronald had worked at 14 firms and has passed the Series 65, Series 63, Series 3, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2005 - August 9, 2006
PROVIDENT ASSET MANAGEMENT, LLC
April 24, 2003 - December 31, 2005
WORTH FINANCIAL GROUP INC.
November 14, 2000 - February 5, 2002
TRAVIS MORGAN SECURITIES INC.
June 30, 1999 - December 8, 1999
CAPSTONE PARTNERS, L.C.
June 9, 1999 - July 17, 2000
RICHMARK CAPITAL CORPORATION
August 13, 1996 - February 19, 1999
LLOYD WADE SECURITIES INC.
August 1, 1994 - August 2, 1996
PROSPERA FINANCIAL SERVICES, INC.
January 17, 1991 - July 1, 1994
HARRIS SECURITIES, INC.
May 6, 1987 - December 31, 1990
DILLON - GAGE SECURITIES, INC.
August 26, 1986 - October 16, 1986
J.P. MORGAN SECURITIES LLC
April 1, 1985 - August 20, 1986
UBS FINANCIAL SERVICES INC.
October 26, 1982 - March 26, 1985
FINANCIAL SQUARE PARTNERS
May 26, 1982 - November 8, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
May 18, 1981 - February 18, 1982
OBERWEIS SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationCurrent Firm
PROVIDENT ASSET MANAGEMENT, LLC
CRD#: 128642 / SEC#: , 8-66166
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 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.
