Ronald E. Floyd
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 Eugene Floyd was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1984. Ronald had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 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
September 3, 2020 - October 28, 2022
MERCER ALLIED COMPANY, L.P.
September 1, 2020 - October 28, 2022
GOLDMAN SACHS & CO. LLC
November 1, 2017 - September 1, 2020
CETERA WEALTH SERVICES, LLC
September 3, 2008 - October 28, 2022
UNITED CAPITAL FINANCIAL ADVISORS
August 19, 2008 - November 1, 2017
GIRARD SECURITIES, INC.
December 15, 1997 - August 21, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
July 31, 1991 - July 3, 2006
IDS LIFE INSURANCE COMPANY
July 31, 1991 - August 21, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
April 23, 1990 - July 23, 1991
CETERA WEALTH SERVICES, LLC
November 7, 1989 - April 17, 1990
TITAN/VALUE EQUITIES GROUP, INC.
November 5, 1985 - November 7, 1989
VALUE EQUITIES CORPORATION
March 22, 1984 - November 19, 1985
EXECUTIVE FINANCIAL SERVICES, 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 1
Date: 1/11/1978
Registered Representative ExaminationCurrent Firm
MERCER ALLIED COMPANY, L.P.
CRD#: 37404 / SEC#: , 8-47739
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GOLDMAN SACHS WEALTH SERVICES, L.P. | SOLE LIMITED PARTNER | 106693 |
| GS AYCO HOLDING LLC | GENERAL PARTNER | |
| HALL, LARIK MARSHALL | PRESIDENT | 2634322 |
| KINOWSKI, KYLE T | VICE PRESIDENT | 4277862 |
| LUKS, SHELLEY M | VP & CHIEF FINANCIAL OFFICER | 6004389 |
| NASS, JEREMY PAUL | VP & CHIEF OPERATIONS OFFICER | 4244509 |
| RYAN, DIANA ELIZABETH | VP & CHIEF COMPLIANCE OFFICER | 2780148 |
| VOLSKY, MELISSA C | VICE PRESIDENT | 4648752 |
Red Flags
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