Thomas M. Ruane
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.
Thomas Michael Ruane JR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2015 - December 20, 2019
PURSHE KAPLAN STERLING INVESTMENTS
September 22, 2005 - August 29, 2013
UMB FINANCIAL SERVICES, INC.
December 6, 2004 - July 26, 2005
SECURIAN FINANCIAL SERVICES, INC.
June 3, 2002 - November 15, 2004
PRINCIPAL SECURITIES, INC.
April 21, 1999 - April 9, 2002
PRUCO SECURITIES, LLC.
January 21, 1998 - April 9, 1999
CARILLON INVESTMENTS, INC.
September 11, 1996 - January 15, 1998
NYLIFE SECURITIES LLC
June 9, 1983 - June 19, 1996
MML INVESTORS SERVICES, LLC
May 25, 1983 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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