Articles Tagged with PTS Brokerage

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Ronald SmithPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 9, 2018 indicate that New Jersey-based PTS Brokerage broker/adviser Ronald Smith has received a regulatory sanction, a pending customer dispute and several unsatisfied tax liens. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Smith (CRD# 2483733).

Ronald Smith has spent 23 years in the securities industry and has been registered with PTS Brokerage in Mt. Laurel, New Jersey since 2004. Previous registrations include USAllianz Securities in Minneapolis, Minnesota (2000-2004); Locust Street Securities in Des Moines, Iowa (2000); Nationwide Advisory Services in Grandview Heights, Ohio (2000); Locust Street Securities in Des Moines, Iowa (1999-2000); Signator Investors in Boston, Massachusetts (1994-1999); and John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1994-1997). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 22, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 18, 1994; Series 7 (General Securities Representative Examination), which he obtained on March 10, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 18, 1994. He is a registered broker and investment adviser with seven US states: Delaware, Florida, New Jersey, New York, Pennsylvania, Virginia, and West Virginia.

According to his BrokerCheck report, Ronald Smith has received one FINRA sanction, one pending customer complaint, and two unsatisfied tax liens.