Ronald V. Pelosi
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 Virgil Pelosi was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1981. Ronald had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 82, Series 62, Series 7, Series 2 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2021 - November 16, 2022
BA SECURITIES, LLC
May 27, 2020 - November 11, 2020
BA SECURITIES, LLC
August 6, 2018 - April 30, 2019
BA SECURITIES, LLC
February 1, 2012 - August 23, 2012
SOFI SECURITIES LLC
July 23, 2009 - June 22, 2012
ALPS DISTRIBUTORS, INC.
January 8, 1999 - July 3, 2001
FORESIDE FUNDS DISTRIBUTORS LLC
October 16, 1996 - January 21, 1997
DAKIN SECURITIES CORPORATION
July 23, 1984 - March 17, 1986
BENNETT FINANCIAL CORPORATION
July 13, 1981 - February 14, 1985
LONGWOOD COMPANY, INC.
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 62
Date: 7/21/2009
Corporate Securities Limited Representative ExaminationSeries 2
Date: 10/31/1978
Non-Member General Securities ExaminationCurrent Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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