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Ron Allen Purvines

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Type: SEC and FINRA Registered

Ron Purvines is a financial professional at Investors Capital Advisory, a broker-dealer with 612 registered representatives nationwide. Ron has held an industry securities registration for 27 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Investors Capital Corportation 4 years, 5 months Jun 2011 - Present
National Planning Corporation ("NPC of America" in FL & NY) 11 years, 11 months Jul 1999 - Jun 2011
ExamSeriesPassed Date
General Securities Principal ExaminationSeries 24 02/25/1998
General Securities Representative ExaminationSeries 7 01/06/1998
Uniform Investment Adviser Law ExaminationSeries 65 12/18/1996
Uniform Securities Agent State Law ExaminationSeries 63 09/04/1987
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 09/04/1987

Answers and Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

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

Firm Client Types

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

License Status

2 Customer Disputes

1 Criminal Disclosure

3 Customer Disputes

1 Criminal Disclosure

As of Date
*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

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees