Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ronald? Claim Your ProfileRonald Millspaugh is a financial advisor with Wells Fargo Clearing Services, LLC, a firm with offices in PALM DESERT, CA. Ronald has been in the financial services industry for over 35 years, having previously worked with UBS Financial Services Inc., Salomon Smith Barney Inc., Lehman Brothers Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Prudential-Bache Securities Inc. Ronald has a wide range of experience and expertise in the financial services industry and holds a Series 7, Series 63, and SIE licenses.
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.
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.
Investment consulting services to institutional clients
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.
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2
CA
11/01/2016 - Present
Wells Fargo Clearing Services, LLC (PALM DESERT CA)
NJ
07/16/1999 - 10/13/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
07/31/1993 - 06/09/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
02/23/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
02/05/1990 - 02/03/1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/29/1986 - 02/13/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
BC
Issued 11/07/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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