Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ronald? Claim Your ProfileRonald Rikio Ban is a financial advisor who has been in the industry since 1988. Ronald is registered with Raymond James & Associates, Inc. and has offices in Chandler, Arizona and Grantsville, Utah. He is licensed to sell securities in Arizona, Texas, and Utah. Ronald is also registered with the Securities and Exchange Commission as an investment advisor representative. He has extensive experience in providing financial planning, portfolio management, and pension consulting services to individual and business clients.
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
AZ
03/27/2019 - Present
Raymond James & Associates, Inc. (Chandler AZ)
AZ
06/01/2009 - 05/31/2013
MORGAN STANLEY (TEMPE AZ)
AZ
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (TEMPE AZ)
NY
10/17/1989 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/02/1989 - 10/17/1989
CENPAC SECURITIES CORP.
NA
05/28/1988 - 12/22/1988
HIBBARD BROWN & CO., INC.
NA
03/22/1988 - 05/31/1988
SHERWOOD CAPITAL, INC.
IA
Issued 01/24/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/30/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/1988
Series 7 - General Securities 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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