Individual Firm
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MARK RONSINI
CRD#: 1647834
IA
B
CAPITAL ANALYSTSCRD#: 162200 4837 Wildrose CT NW
Kennesaw, GA 30152
Kennesaw, GA 30152
LINCOLN INVESTMENTCRD#: 519 Kennesaw, GA
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12/19/2012
Customer Dispute
Denied
State Registrations
B
Arizona 1/4/2022
B
Florida 1/23/2013
B
California 1/22/2013
B
Georgia 1/22/2013
B
Colorado 8/31/2023
IA
Georgia 1/22/2013
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 2/24/2016
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/09/2010 - 11/19/2012 | SAN DIEGO, CA | |
B | 09/09/2011 - 11/19/2012 | WALNUT CREEK, CA | |
B | 01/02/2008 - 12/05/2011 | WALNUT CREEK, CA | |
IA | 01/11/2008 - 11/10/2010 | SAN DIEGO, CA | |
B | 07/19/1999 - 12/31/2007 | ORANGE, CA | |
B | 03/31/1999 - 07/15/1999 | BOSTON, MA | |
B | 08/17/1993 - 03/31/1999 | IRVINE, CA | |
B | 04/19/1989 - 08/02/1993 | WELLESLEY HILLS, MA | |
B | 08/22/1988 - 03/14/1989 | ||
B | 04/24/1987 - 08/30/1988 |
SAN DIEGO, CA
01/11/2008 - 11/10/2010
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.