Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ronald? Claim Your ProfileRonald Ames Rotthaus is a registered investment advisor with over 30 years of experience in the financial industry. Ronald is currently registered with BOK Financial Securities, Inc. Ronald has worked with a variety of firms throughout his career, including Nationwide Investment Services Corporation, Compass Brokerage, Inc., and Financial Horizons Securities Corporation. Ronald is a Series 6, 7, 22, 24, 52, and 63 licensed advisor. Ronald offers a range of financial services, including financial planning, portfolio management, and educational seminars. Ronald is committed to helping clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Furnishes advice about securities in any manner not described above.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
09/06/2007 - Present
BOK Financial Securities, Inc. (HURST TX)
OH
04/06/2000 - 01/20/2006
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
AL
09/09/1996 - 10/12/1998
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
NA
01/18/1989 - 03/18/1996
FINANCIAL HORIZONS SECURITIES CORPORATION
NA
04/03/1990 - 11/02/1993
FINANCIAL HORIZONS DISCOUNT BROKERAGE, INC.
NA
04/10/1987 - 06/23/1988
KAVANAUGH SECURITIES, INC.
IA
Issued 06/19/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/08/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/01/1994
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/29/1991
Series 7 - General Securities Representative Examination
BC
Issued 07/10/1987
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 04/08/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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