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Detailed Report
Ronald Fisher
RON D FISHER, RONALD D. FISHER, Ronald Dana Fisher
CRD#: 2390801
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2555-2595 W CHANDLER BLVD
CI RELATIONSHIP MANAGEMENT
CHANDLER, AZ 85224
Registration History
19952000200520102015202020252 FIRMS2013 - 2019 (5 years)2 FIRMS2019 - 2023 (4 years)2 FIRMS2023 - 2024 (1 year)2 FIRMS2024 - Present (<1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2006 - 2013 (7 years)BUSAA INVESTMENT MANAGEMENT COMPANY (CRD# 5475)2004 - 2006 (1 year)BPHOENIX EQUITY PLANNING CORPOR... (CRD# 3036)2001 - 2002 (<1 year)BSALOMON SMITH BARNEY INC. (CRD# 7059)1999 - 2001 (1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1996 - 1999 (3 years)BAMSOUTH INVESTMENT SERVICES, INC. (CRD# 15692)1994 - 1995 (<1 year)BTHE ROBINSON-HUMPHREY COMPANY INC. (CRD# 723)1993 - 1994 (1 year)
Disclosure(s)
View By:
8/6/2024
Financial
Final
6/20/2024
Financial
Final
4/30/2024
Financial
Final
4/30/2024
Financial
Final
4/23/2024
Financial
Final
12/6/2023
Financial
Final
9/6/2023
Financial
Final
9/6/2023
Financial
Final
8/18/2023
Financial
Final
8/11/2023
Financial
Final
2/15/2019
Financial
Final
License(s)

State Registrations

B
Alabama 10/24/2024
B
Nebraska 10/22/2024
B
Alaska 11/15/2024
B
Nevada 10/28/2024
B
Arizona 10/23/2024
B
New Hampshire 10/24/2024
B
Arkansas 11/14/2024
B
New Jersey 11/8/2024
B
California 10/21/2024
B
New Mexico 10/24/2024
IA
California 10/21/2024
B
New York 10/24/2024
B
Colorado 10/29/2024
B
North Carolina 10/31/2024
B
Connecticut 10/22/2024
B
North Dakota 10/28/2024
B
Delaware 10/31/2024
B
Ohio 10/22/2024
B
District of Columbia 10/25/2024
B
Oklahoma 10/24/2024
B
Florida 10/23/2024
B
Oregon 10/29/2024
B
Georgia 10/23/2024
B
Pennsylvania 10/24/2024
B
Hawaii 11/7/2024
B
Puerto Rico 11/8/2024
B
Idaho 10/22/2024
B
Rhode Island 10/24/2024
B
Illinois 11/7/2024
B
South Carolina 10/25/2024
B
Indiana 10/24/2024
B
South Dakota 10/24/2024
B
Iowa 10/31/2024
B
Tennessee 10/25/2024
B
Kansas 10/24/2024
B
Texas 10/22/2024
B
Kentucky 12/4/2024
IA
Texas 10/28/2024
B
Louisiana 10/30/2024
B
Utah 10/23/2024
B
Maine 10/24/2024
B
Vermont 10/24/2024
B
Maryland 10/29/2024
B
Virgin Islands 10/31/2024
B
Massachusetts 11/12/2024
B
Virginia 10/24/2024
B
Michigan 11/27/2024
B
Washington 11/1/2024
B
Minnesota 10/24/2024
B
West Virginia 10/28/2024
B
Mississippi 10/25/2024
B
Wisconsin 10/22/2024
B
Montana 10/24/2024
B
Wyoming 10/22/2024

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2555-2595 W CHANDLER BLVD CI RELATIONSHIP MANAGEMENT, CHANDLER, AZ 85224
Registered with this firm since 10/21/2024
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2555-2595 W CHANDLER BLVD CI RELATIONSHIP MANAGEMENT, CHANDLER, AZ 85224
Registered with this firm since 10/21/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/19/2023 - 07/11/2024 LPL FINANCIAL LLC (CRD#:6413) TEMPE, AZ
B
 07/19/2023 - 07/11/2024 LPL FINANCIAL LLC (CRD#:6413) TEMPE, AZ
IA
 04/09/2019 - 07/19/2023 BANCWEST INVESTMENT SERVICES, INC. (BWIS) (CRD#:29357) TEMPE, AZ
B
 04/02/2019 - 07/19/2023 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) TEMPE, AZ
IA
 06/04/2013 - 03/15/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHANDLER, AZ
B
 05/06/2013 - 03/15/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHANDLER, AZ
B
 03/24/2006 - 04/01/2013 CHARLES SCHWAB & CO., INC. (CRD#:5393) PHOENIX, AZ
B
 08/18/2004 - 01/12/2006 USAA INVESTMENT MANAGEMENT COMPANY (CRD#:5475) SAN ANTONIO, TX
B
 12/18/2001 - 10/09/2002 PHOENIX EQUITY PLANNING CORPORATION (CRD#:3036) HARTFORD, CT
B
 11/02/1999 - 06/04/2001 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 03/26/1996 - 03/18/1999 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 10/31/1994 - 05/17/1995 AMSOUTH INVESTMENT SERVICES, INC. (CRD#:15692) BIRMINGHAM, AL
B
 09/09/1993 - 09/07/1994 THE ROBINSON-HUMPHREY COMPANY INC. (CRD#:723) ATLANTA, GA
For additional information about investment advisers or broker-dealers, please visit
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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
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.