Ruth A. Guillaume
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ruth Ann Guillaume, who also goes by Ruth Ann Wolgemuth, was a registered financial professional .
Ruth is a previously registered financial professional and started their career in finance in 1983. Ruth had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 1998 - December 31, 2005
RESPONSIBLE INVESTMENT GROUP, LLC
April 12, 1998 - January 28, 2013
LPL FINANCIAL LLC
January 29, 1993 - January 28, 2013
LPL FINANCIAL LLC
September 9, 1988 - January 29, 1993
THE CHICAGO CORPORATION
May 14, 1987 - September 21, 1988
RODMAN & RENSHAW INC.
June 8, 1984 - June 10, 1987
CHANNER FINANCIAL CORPORATION
January 20, 1983 - May 5, 1984
BMO CAPITAL MARKETS GKST INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
Red Flags
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