Ronald S. Wenig
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 Steven Wenig, who also goes by Ron Wenig, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1981. Ronald had worked at 26 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2014 - June 3, 2014
AURIGA USA, LLC
March 12, 2013 - October 21, 2013
BRAVER STERN SECURITIES LLC
October 9, 2012 - March 4, 2013
B. RILEY WEALTH MANAGEMENT
January 23, 2012 - October 9, 2012
TEJAS SECURITIES GROUP, INC.
July 28, 2010 - November 11, 2011
ODEON CAPITAL GROUP LLC
August 11, 2008 - August 17, 2010
GILFORD SECURITIES INCORPORATED
February 9, 2008 - August 15, 2008
DAWSON JAMES SECURITIES, INC.
June 25, 2007 - February 8, 2008
CAPITAL GROWTH FINANCIAL, LLC
December 8, 2004 - March 22, 2005
STONE & YOUNGBERG LLC
May 19, 2004 - November 12, 2004
CANTOR FITZGERALD & CO.
January 5, 2004 - April 15, 2004
BONDS DIRECT SECURITIES LLC
May 22, 2000 - January 7, 2004
VINING-SPARKS IBG, LLC
May 22, 2000 - January 7, 2004
ICBA SECURITIES
November 10, 1997 - May 23, 2000
OPPENHEIMER & CO. INC.
April 25, 1996 - November 19, 1997
SUNCOAST CAPITAL GROUP, LTD.
December 22, 1995 - March 29, 1996
COUNTRYWIDE SECURITIES CORPORATION
November 10, 1994 - October 16, 1995
PRUDENTIAL EQUITY GROUP, LLC
January 3, 1994 - November 14, 1994
J.P. MORGAN SECURITIES LLC
February 1, 1990 - January 7, 1994
RODMAN & RENSHAW INC.
May 31, 1989 - February 13, 1990
TUCKER ANTHONY INCORPORATED
December 1, 1988 - May 11, 1989
LEHWALD, OROSEY & PEPE INCORPORATED
August 25, 1988 - December 7, 1988
U.S. ASSOCIATES OF FLORIDA, INC.
July 9, 1987 - August 31, 1988
WESTCAP SECURITIES, L.P.
July 2, 1987 - July 16, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
April 8, 1987 - June 18, 1987
TMA GOVERNMENT SECURITIES, LTD.
May 18, 1981 - April 13, 1987
MARCUS, STOWELL & BEYE, INC.
State Registrations and Notice Filings
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Exams
Current Firm
AURIGA USA, LLC
CRD#: 121731 / SEC#: , 8-65441
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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