Charles R. Ross
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.
Charles Ronald Ross, who also goes by Ron Ross, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1979. Charles had worked at 7 firms and has passed the Series 63, 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
April 9, 2002 - September 21, 2006
CANTELLA & CO., INC.
January 4, 1999 - April 25, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 5, 1991 - April 15, 2025
PREMIER FINANCIAL GROUP INC
February 1, 1990 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
November 19, 1989 - February 8, 1990
OSAIC WEALTH, INC.
September 5, 1984 - October 20, 1987
NATIONWIDE INVESTMENT SERVICES CORPORATION
November 8, 1979 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
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: 10/30/1979
Registered Representative ExaminationCurrent Firm
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
