Ronald L. White
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 Lynn White, who also goes by Ron White, Ronald L White, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1975. Ronald had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 62, Series 1, Series 53 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 26, 2013 - January 2, 2015
NEW ENGLAND SECURITIES
September 27, 2013 - December 31, 2016
MSI FINANCIAL SERVICES, INC.
September 26, 2011 - December 31, 2016
MSI FINANCIAL SERVICES, INC.
October 14, 2008 - August 20, 2010
MSI FINANCIAL SERVICES, INC.
February 13, 2007 - October 10, 2008
MORGAN KEEGAN & COMPANY, LLC
March 29, 2004 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
March 18, 1999 - September 4, 2002
AMERICAN GENERAL SECURITIES INCORPORATED
March 27, 1986 - January 25, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 27, 1986 - January 25, 1999
EQUITABLE ADVISORS, LLC
October 18, 1985 - March 5, 1986
GUARDIAN INVESTOR SERVICES LLC
October 20, 1980 - January 25, 1999
EQUITABLE ADVISORS, LLC
April 15, 1975 - January 25, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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: 5/6/1994
Corporate Securities Limited Representative ExaminationSeries 1
Date: 4/8/1975
Registered Representative ExaminationCurrent Firm
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
