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Ronald M. Pashen

INDEPENDENT BROKERAGE SOLUTIONS LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 7700003
RP

Professional summary

Ronald Michael Pashen is a registered financial professional currently at INDEPENDENT BROKERAGE SOLUTIONS LLC located in New York, New York.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 2023. Ronald has worked at 1 firm and has passed the Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Ronald Michael Pashen's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

February 23, 2023 - Present

INDEPENDENT BROKERAGE SOLUTIONS LLC

Office #1: 485 Madison Avenue 15th Floor, New York, NY 10022
BD
CRD#: 153563
New York, NY

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

General Industry/Product Exam
RR
Series 7TO
Date: 2/23/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/19/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

IB
INDEPENDENT BROKERAGE SOLUTIONS LLC
INDEPENDENT BROKERAGE SOLUTIONS LLC | SDDCO BROKERAGE ADVISORS LLC

CRD#: 153563 / SEC#: , 8-68549

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
485 Madison Avenue 15th Floor, New York, NY 10022
Mailing Address
485 Madison Avenue 15th Floor, New York, NY 10022
Phone number
(212) 751-4424
Established
New York since 12/21/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DFP PARTNERS CPA, P.C.MEMBER
FORTINO, ANGELINAFINOP/ PFO/CFO6869135
STEINBERG, MICHAEL NMNCEO/CCO1062776

Disclosures

Regulatory Event1

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.

Company Information

INDEPENDENT BROKERAGE SOLUTIONS LLC

CRD#: 153563New York, NY 10022

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