Ronald D. Phillips
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 Dale Phillips was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1977. Ronald had worked at 11 firms and has passed the Series 66, 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
November 8, 2013 - January 18, 2017
CADARET, GRANT & CO., INC.
November 8, 2013 - January 18, 2017
CADARET, GRANT & CO., INC.
February 22, 2011 - November 14, 2013
SUMMIT FINANCIAL GROUP INC
August 31, 2010 - November 14, 2013
SUMMIT BROKERAGE SERVICES, INC.
October 2, 1989 - September 1, 2010
CADARET, GRANT & CO., INC.
March 3, 1987 - October 2, 1989
CADARET, GRANT & CO., INC.
January 12, 1983 - December 16, 1986
GLEACHER & COMPANY SECURITIES, INC.
June 29, 1982 - February 4, 1983
HARLEYSVILLE SECURITIES CORPORATION
February 22, 1982 - March 8, 1982
E. W. SMITH CO.
August 26, 1980 - October 30, 1981
PRUDENTIAL EQUITY GROUP, LLC
August 31, 1979 - October 9, 1980
AMERICAN EXPRESS FINANCIAL CORPORATION
August 31, 1979 - October 9, 1980
AMERIPRISE FINANCIAL SERVICES, LLC
August 31, 1979 - October 9, 1980
IDS LIFE INSURANCE COMPANY
May 5, 1977 - July 28, 1979
AMERICAN EXPRESS FINANCIAL CORPORATION
May 5, 1977 - July 28, 1979
AMERIPRISE FINANCIAL SERVICES, LLC
May 5, 1977 - July 28, 1979
IDS LIFE INSURANCE COMPANY
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: 5/2/1977
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
