Ronald A. Paulson
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 Alvin Paulson, who also goes by Ronald A Paulson, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1978. Ronald had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7 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
January 28, 2014 - March 2, 2017
CETERA INVESTMENT ADVISERS LLC
August 2, 2011 - January 29, 2014
CETERA INVESTMENT SERVICES LLC
August 7, 2001 - November 6, 2001
BANCWEST INVESTMENT SERVICES, INC.
May 4, 2000 - December 31, 2001
GUARANTY BROKERAGE SERVICES, INC.
April 20, 2000 - December 31, 2000
BANCWEST INVESTMENT SERVICES, INC.
July 2, 1999 - December 10, 2001
BANCNORTH INVESTMENT GROUP, INC.
September 8, 1995 - March 2, 2017
CETERA INVESTMENT SERVICES LLC
February 17, 1994 - September 7, 1995
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 12, 1988 - March 1, 1994
INVEST FINANCIAL CORPORATION
October 22, 1984 - January 7, 1988
CRAIG-HALLUM, INC.
May 5, 1983 - August 20, 1986
ALSTEAD, DEMPSEY & COMPANY, INCORPORATED
December 27, 1978 - November 2, 1984
DAIN RAUSCHER INCORPORATED
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
