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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ronald? Claim Your ProfileRonald Goldman is a financial advisor with Raymond James & Associates, Inc. Ronald has over 49 years of experience in the financial services industry. Ronald has Series 7, 8, 9, 10, 31, 63, and 65 licenses and is registered with the state of California and Texas. In addition, Ronald is also FINRA Arbitrator and has been involved in financial arbitration since 2009. Ronald has worked with numerous firms throughout his career, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Prudential Securities Incorporated, Wachovia Securities, LLC, The Seidler Companies Incorporated, and Stone & Youngberg LLC.
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.
Guidance on pension options to ensure a secure financial future.
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.
Please see note in schedule d - miscellaneous
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
CA
11/05/2021 - Present
Raymond James & Associates, Inc. (WESTLAKE VILLAGE CA)
CA
04/24/2006 - 10/01/2007
STONE & YOUNGBERG LLC (LOS ANGELES CA)
CA
03/16/2005 - 04/21/2006
THE SEIDLER COMPANIES INCORPORATED (WESTLAKE VILLAGE CA)
MO
04/08/1999 - 02/28/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
03/08/1995 - 03/10/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/19/1983 - 03/09/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
12/13/1972 - 09/16/1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
12/19/1972 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BC
Issued 08/31/1995
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 05/11/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/26/1983
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 09/01/1977
PC - AMEX Put and Call Exam
BC
Issued 12/13/1972
Series 000 - General Securities Principal Examination
BC
Issued 12/13/1972
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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