Home  >  BrightScope Advisor Pages  >  Ron Allen Purvines

Information

Firm:
Type: Dual Registration
Description

Ron Purvines is a financial professional at Investors Capital Advisory, a broker-dealer with 545 registered representatives nationwide. Ron has held an industry securities registration for 26 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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.

Experience and Employment History

Employer Years Dates
Investors Capital Corportation 2 years, 10 months Jun 2011 - Present
National Planning Corporation ("NPC of America" in FL & NY) 11 years, 11 months Jul 1999 - Jun 2011
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/12/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

2 Customer Disputes

1 Criminal Disclosure

2 Customer Disputes

1 Criminal Disclosure

As of Date
11/12/2013
01/03/2014
*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.

Advisor Exams

Exam Series Passed Date
General Securities Principal Examination Series 24 02/25/1998
General Securities Representative Examination Series 7 01/06/1998
Uniform Investment Adviser Law Examination Series 65 12/18/1996
Uniform Securities Agent State Law Examination Series 63 09/04/1987
Investment Company Products/Variable Contracts Representative Examination Series 6 09/04/1987

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

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