Ronald J. Abbott
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 J Abbott, who also goes by Bud Abbott, Ronald Jay Abbott, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1976. Ronald had worked at 10 firms and has passed the Series 63, 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
October 9, 2002 - July 8, 2003
MUTUAL SERVICE CORPORATION
November 2, 1998 - September 5, 2002
CENTAURUS FINANCIAL, INC.
April 17, 1995 - September 18, 1998
TITAN/VALUE EQUITIES GROUP, INC.
September 1, 1994 - April 13, 1995
PRINCIPAL FINANCIAL SECURITIES,INC.
July 30, 1992 - September 1, 1994
HAMILTON INVESTMENTS, INC.
February 28, 1989 - July 17, 1992
UBS FINANCIAL SERVICES INC.
December 13, 1983 - February 7, 1989
LEHMAN BROTHERS INC.
July 15, 1981 - December 28, 1983
KIDDER, PEABODY & CO. INCORPORATED
September 26, 1978 - August 5, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 14, 1976 - 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
PC
Date: 9/8/1977
AMEX Put and Call ExamCurrent Firm
MUTUAL SERVICE CORPORATION
CRD#: 4806 / SEC#: , 8-15313
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP LLC | PARENT COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR/SECRETARY | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER/CHAIRMAN/DIRECTOR | 1821773 |
| MITCHELL, CHRISTOPHER MILLS | CFO/FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 17 |
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.
