Individual Firm
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ANN BAKER RONN
CRD#: 1945908
IA
B
AMERITAS ADVISORY SERVICES, LLCCRD#: 317245 602 SAWYER ST STE 120
HOUSTON, TX 77007
HOUSTON, TX 77007
AMERITAS INVESTMENT COMPANY, LLCCRD#: 14869 602 SAWYER ST STE 120
HOUSTON, TX 77007
HOUSTON, TX 77007
View By:
3/7/2011
Customer Dispute
Settled
State Registrations
B
California 1/26/2007
B
North Carolina 1/22/2021
B
Colorado 1/26/2007
B
Oklahoma 5/19/2011
B
Indiana 3/1/2023
B
Pennsylvania 1/26/2007
B
Iowa 6/27/2018
B
Texas 1/18/2007
B
Maryland 1/26/2007
IA
Texas 11/1/2021
B
Mississippi 10/30/2023
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 11/1/2021
B
Registered with this firm since 1/18/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/24/2007 - 11/01/2021 | HOUSTON, TX | |
IA | 01/01/2003 - 12/31/2012 | HOUSTON, TX | |
IA | 02/21/1992 - 01/29/2007 | HOUSTON, TX | |
B | 02/19/1992 - 01/29/2007 | HOUSTON, TX | |
B | 03/12/1992 - 01/25/2007 | HOUSTON, TX | |
IA | 10/25/2002 - 12/31/2002 | HOUSTON, TX | |
B | 11/19/1989 - 05/17/1991 | SCOTTSDALE, AZ | |
B | 05/03/1989 - 11/19/1989 |
HOUSTON, TX
01/01/2003 - 12/31/2012
HOUSTON, TX
10/25/2002 - 12/31/2002
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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.
IA
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.