Ronald E. Angelocci
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 Ernest Angelocci, who also goes by Ron E Angelocci, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1975. Ronald had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2016 - September 26, 2016
SECURIAN FINANCIAL SERVICES, INC.
January 2, 2015 - February 22, 2016
MSI FINANCIAL SERVICES, INC.
March 2, 2010 - January 2, 2015
NEW ENGLAND SECURITIES
May 16, 2008 - March 8, 2010
FIRST HEARTLAND CAPITAL, INC.
August 15, 2006 - May 7, 2008
FSC SECURITIES CORPORATION
March 10, 2006 - August 16, 2006
WORLD EQUITY GROUP, INC.
January 7, 2005 - March 13, 2006
NEW ENGLAND SECURITIES
December 3, 2003 - December 11, 2003
WS GRIFFITH SECURITIES, INC.
January 18, 2001 - January 14, 2005
SIGNATOR INVESTORS, INC.
June 1, 1998 - January 5, 2001
OSAIC FA, INC.
April 10, 1990 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 19, 1989 - February 28, 1990
OSAIC WEALTH, INC.
March 1, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
October 28, 1975 - December 13, 1982
LINCOLN FINANCIAL DISTRIBUTORS, 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 1
Date: 10/20/1975
Registered Representative ExaminationCurrent Firm
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
