Kenneth L. Ruff
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.
Kenneth Laurence Ruff, who also goes by Ken Ruff, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1983. Kenneth had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 1989 - May 26, 1989
JOHN G. KINNARD AND COMPANY, INCORPORATED
September 15, 1988 - May 3, 1989
B.C. CHRISTOPHER SECURITIES CO.
February 1, 1988 - September 23, 1988
OBERWEIS SECURITIES, INC.
January 2, 1986 - February 1, 1988
ENGLER-BUDD & COMPANY INC.
March 23, 1983 - January 6, 1986
SECO SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
JOHN G. KINNARD AND COMPANY, INCORPORATED
CRD#: 466 / SEC#: , 8-11061
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 7 |
| Bond | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
