Ruth L. Fay
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 Leslie Fay, who also goes by Ruth Leslie Dengel, was a registered financial professional .
Ruth is a previously registered financial professional and started their career in finance in 1983. Ruth had worked at 9 firms and has passed the Series 65, Series 63, SIE, 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
June 8, 2020 - July 12, 2021
USAA INVESTMENT SERVICES COMPANY
January 8, 2018 - July 12, 2021
USAA INVESTMENT SERVICES COMPANY
August 12, 2011 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
May 4, 2011 - June 8, 2020
USAA FINANCIAL ADVISORS, INC.
July 25, 1997 - April 27, 2011
WALNUT STREET SECURITIES, INC.
February 16, 1996 - March 12, 1997
LPL FINANCIAL LLC
July 31, 1993 - February 29, 1996
CITIGROUP GLOBAL MARKETS INC.
September 22, 1986 - July 31, 1993
LEHMAN BROTHERS INC.
May 6, 1986 - September 26, 1986
BUTCHER & SINGER INC.
May 25, 1983 - January 23, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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