Ronald N. Pellett
Professional summary
Ronald Neil Pellett was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ronald is a previously registered financial professional and started their career in finance in 1978. Prior to being barred, Ronald had worked at 5 firms, which includes PELLETT INVESTMENTS INC., EMMETT A LARKIN COMPANY INC., ANCHOR NATIONAL FINANCIAL SERVICES INC., LEHMAN BROTHERS INC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 1987 - April 9, 1999
PELLETT INVESTMENTS, INC.
May 1, 1987 - September 4, 1987
EMMETT A LARKIN COMPANY, INC.
February 19, 1986 - April 14, 1987
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
April 27, 1982 - February 24, 1986
LEHMAN BROTHERS INC.
August 25, 1978 - April 30, 1982
MORGAN STANLEY DW 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
Current Firm
PELLETT INVESTMENTS, INC.
CRD#: 19834 / SEC#: , 8-37839
Contact information
Documents
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.
