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Ronald Ban

Raymond James & Associates, INC.
38 Years of Experience
Chandler, AZ
2 DisclosuresBroker
View SEC Summary
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Ronald Ban is a registered investment advisor at Raymond James & Associates, INC., based in Chandler, AZ, with 38 years of industry experience. Ronald is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1490 S Price Rd, Suite 308, Chandler, AZ, 85286

Get directions

History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2004
Denied
Customer Dispute
July 1992
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Ronald has a personal/private investment in Advanced Green Machines of California since 2014. He spends no time on this business.

Employment History
Current Registrations
Raymond James & Associates, INC.
May 2015 - Present · 11 yrs 5 mos
Raymond James & Associates, INC.
May 2013 - Present · 13 yrs 5 mos
Raymond James & Associates, INC.Broker
May 2013 - Present · 13 yrs 5 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - May 2013 · 3 yrs 11 mos
Citigroup Global Markets INC.Broker
July 1993 - June 2009 · 15 yrs 11 mos
Lehman Brothers INC.Broker
October 1989 - July 1993 · 3 yrs 9 mos
Cenpac Securities CORP.Broker
January 1989 - October 1989 · 9 mos
Hibbard Brown & CO., INC.Broker
May 1988 - December 1988 · 7 mos
Sherwood Capital, INC.Broker
March 1988 - May 1988 · 2 mos
State Registrations20 states
AZCACOFLGAIDILINMAMIMNNCNMOKORTXUTVAWAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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