Ronald Glassman
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 Glassman, who also goes by Ron Glassman, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1976. Ronald had worked at 16 firms and has passed the Series 63 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 9, 1998 - May 12, 2008
NATIONS FINANCIAL GROUP, INC.
May 1, 1992 - April 9, 1998
AEGON USA SECURITIES INC.
September 7, 1990 - April 23, 1992
SSI SECURITIES CORP.
April 22, 1988 - August 1, 1990
TRANSCO SECURITIES
September 16, 1987 - April 5, 1988
AMERICAN CAPITAL EQUITIES, INC.
October 1, 1985 - July 21, 1987
GRUNTAL & CO., L.L.C.
February 5, 1985 - October 1, 1985
JII SECURITIES INC.
August 10, 1984 - February 4, 1985
THE STUART-JAMES COMPANY, INCORPORATED
February 25, 1983 - July 30, 1984
MIDLAND WALWYN CAPITAL CORPORATION
June 19, 1982 - February 22, 1983
BEVILL, BRESLER & SCHULMAN INCORPORATED
April 24, 1981 - May 27, 1982
RLR SECURITIES GROUP, INC.
August 14, 1979 - May 23, 1980
THOMSON MCKINNON SECURITIES INC.
January 25, 1979 - August 5, 1979
MORGAN STANLEY DW INC.
January 9, 1978 - September 22, 1978
CIBC WORLD MARKETS CORP.
August 5, 1977 - December 21, 1977
HANAUER, STERN & COMPANY,INCORPORATED
April 21, 1976 - August 11, 1977
WINTERS & COMPANY, INC.
Primary Firm SEC Registration
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
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
Current Firm
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
Contact information
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
