Ronald J. Auer
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 Joe Auer was a registered financial advisor .
Ronald is a previously registered financial advisor and started their career in finance in 1977. Ronald had worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 15 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2017 - September 29, 2020
ALLSPRING FUNDS DISTRIBUTOR, LLC
June 20, 1994 - December 31, 2002
FREEMAN ASSOCIATES INVESTMENT MANAGEMENT LLC
September 19, 1989 - May 11, 1991
A. G. EDWARDS & SONS, INC.
December 2, 1988 - October 9, 1989
CINCINNATI ANALYSTS, INC.
August 3, 1987 - October 22, 1988
DAROZA ANDERSON, INC.
December 16, 1986 - June 25, 1987
BOETTCHER & COMPANY, INC.
March 11, 1982 - December 15, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
July 1, 1977 - April 2, 1982
FOSTER & MARSHALL 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 7TO
Date: 3/13/2022
General Securities Representative ExaminationSeries 15
Date: 6/7/1984
Foreign Currency Options ExaminationCurrent Firm
ALLSPRING FUNDS DISTRIBUTOR, LLC
CRD#: 133366 / SEC#: , 8-66716
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSPRING GLOBAL INVESTMENTS HOLDINGS LLC | PARENT | |
| GIBSON, LORI MITCHUM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 3070238 |
| KENNEY, JOHN DUFF | DIRECTOR | 2387755 |
| MCKINLEY, KATHERINE SANDMAN | CHIEF LEGAL OFFICER | 6807581 |
| MONINGER, JOHN KENNETH | PRESIDENT/CHAIRMAN | 2494976 |
| WILARY, CAROLYN ANN | CHIEF COMPLIANCE OFFICER | 4220513 |
Disclosures
| Regulatory Event | 1 |
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.
