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Benjamin Andrew Ronning

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Information

Other Names: Ben Ronning
Firm:
Type: Dual Registration
Description

Benjamin Ronning is a financial professional at Waddell & Reed, a broker-dealer with over 2,800 registered representatives nationwide. Benjamin has held an industry securities registration for 5 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Waddell & Reed Inc 1 year, 3 months Aug 2013 - Present
H.D. Vest Advisory Services 9 months Nov 2012 - Aug 2013
H.D. Vest Investment Services 1 year, 2 months Jun 2012 - Aug 2013
Various Insurance Carriers for W&R Insurance Agencies 2 years, 8 months Oct 2006 - Jun 2009
Waddell & Reed, Inc. 3 years Jun 2006 - Jun 2009
Cpi Qualified Plan Consultants 4 years, 9 months Aug 2001 - May 2006
Us Army 18 years Nov 1996 - Present
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 09/26/2006
Uniform Securities Agent State Law ExaminationSeries 63 05/20/2006

Answers and Guides

Level 1 Level 1 Contributor 0 Answers and 0 Financial Guides

Top Answers

Benjamin Andrew Ronning has not answered any questions on Financial Q&A.

Top Guides

Benjamin Andrew Ronning 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

*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

1 Customer Dispute

1 Customer Dispute

As of Date
10/03/2014
04/20/2014
*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
  • Fixed Fees
  • Other: VARIABLE FEES