Articles Tagged with Ronald Wall

Ronald WallPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Pennsylvania-based JP Morgan Securities broker/adviser Ronald Wall has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wall (CRD# 2245306).

Ronald Wall has spent 26 years in the securities industry and has been registered with JP Morgan Securities in Philadelphia, Pennsylvania since 2013. Previous registrations include Morgan Stanley in West Conshohocken, Pennsylvania (2009-2013); Citigroup Global Markets in West Conshohocken, Pennsylvania (2008-2009); UBS Financial Services in Conshohocken, Pennsylvania (2001-2008); Investec PMG Capital in New York, New York (1996-2001); Pennsylvania Merchant Group (1996); and Schroder Wertheim & Company in New York, New York (1992-1996). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 12, 1992; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on June 9, 1992. He is a registered broker and investment adviser with 27 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Iowa, Maryland, Massachusetts, Michigan, Missouri, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, and Virginia. His self-regulatory organization (SRO) registrations include: BOX Exchange LLC, FINRA, Investors’ Exchange LLC, NYSE American LLC, Nasdaq BX, Nasdaq GEMX, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.