Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
RONALD JOSEPH MOLLES JR
RONALD JOSEPH MOLLES
CRD#: 2976343
IA
Investment Adviser
B
Broker
EQUITABLE ADVISORS, LLCCRD#: 6627 304 FEDERAL ROAD
SUITE 303
BROOKFIELD, CT 06804
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 1998 (<1 year)IAEQUITABLE ADVISORS, LLC (CRD# 6627)2000 - Present (25 years)BEQUITABLE ADVISORS, LLC (CRD# 6627)1998 - Present (27 years)BTHE EQUITABLE LIFE ASSURANCE S... (CRD# 4039)1998 - 2000 (1 year)
Disclosure(s)
View By:
5/27/2009
Customer Dispute
Denied
License(s)

State Registrations

B
California 11/21/2000
B
New York 3/20/1998
IA
California 10/26/2010
IA
New York 5/18/2021
B
Connecticut 2/12/1998
B
North Carolina 1/3/2005
IA
Connecticut 1/18/2000
IA
North Carolina 8/17/2010
B
Florida 5/12/1998
B
Ohio 8/12/2003
IA
Florida 12/10/2010
IA
Ohio 9/23/2010
B
Illinois 3/13/2024
B
Pennsylvania 7/30/2014
IA
Illinois 3/14/2024
IA
Pennsylvania 8/1/2014
B
Maryland 8/6/2013
B
South Carolina 10/1/2002
IA
Maryland 9/23/2013
IA
South Carolina 9/26/2011
B
Massachusetts 6/14/1999
B
Vermont 2/9/2022
B
New Hampshire 12/8/2020
IA
Vermont 2/10/2022
IA
New Hampshire 8/23/2021
B
Washington 8/27/2015
B
New Jersey 6/24/1999
IA
Washington 9/10/2015
IA
New Jersey 7/5/2002

SRO Registrations

B
 FINRA

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
EQUITABLE ADVISORS, LLC (CRD#:6627)
304 FEDERAL ROAD SUITE 303, BROOKFIELD, CT 06804
Registered with this firm since 1/18/2000
B
EQUITABLE ADVISORS, LLC (CRD#:6627)
304 FEDERAL ROAD SUITE 303, BROOKFIELD, CT 06804
Registered with this firm since 2/12/1998
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 02/12/1998 - 01/05/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
B
 12/05/1997 - 01/23/1998 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 12/05/1997 - 01/23/1998 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.