Ronald T. Sanchez
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 Thomas Sanchez was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1975. Ronald had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 5, PC 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
April 16, 2007 - May 30, 2018
SPENCER EDWARDS, INC.
September 30, 2002 - April 16, 2007
J.P. TURNER & COMPANY, L.L.C.
November 19, 1998 - September 30, 2002
SCHNEIDER SECURITIES, INC.
May 31, 1994 - November 30, 1998
WELLS FARGO CLEARING SERVICES, LLC
January 5, 1987 - June 2, 1994
RAUSCHER PIERCE REFSNES, INC.
September 2, 1983 - January 12, 1987
E. F. HUTTON & COMPANY INC
March 2, 1982 - August 26, 1983
PIPER SANDLER & CO.
August 25, 1980 - March 10, 1982
THOMSON MCKINNON SECURITIES INC.
September 26, 1978 - July 30, 1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 20, 1975 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 11/21/1981
Interest Rate Options ExaminationPC
Date: 8/1/1978
AMEX Put and Call ExamCurrent Firm
SPENCER EDWARDS, INC.
CRD#: 22067 / SEC#: , 8-39511
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
Red Flags
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