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Ron Allen Purvines

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Information

Firm:
Type: Dual Registration
Description

Ron Purvines is a financial professional at Investors Capital Advisory, a broker-dealer with 560 registered representatives nationwide. Ron has held an industry securities registration for 27 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Investors Capital Corportation 3 years, 4 months Jun 2011 - Present
National Planning Corporation ("NPC of America" in FL & NY) 11 years, 11 months Jul 1999 - Jun 2011
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 12/18/1996
Uniform Securities Agent State Law ExaminationSeries 63 09/04/1987

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Ron Allen Purvines has not answered any questions on Financial Q&A.

Top Guides

Ron Allen Purvines has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Business Development Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

2 Customer Disputes

1 Criminal Disclosure

3 Customer Disputes

1 Criminal Disclosure

As of Date
09/08/2014
09/25/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions