Steven M. Ruderman

NEAL FINANCIAL GROUP, L.P.

Tomball, TX 77377

Some features on this profile are disabled

CRD#: 1137782

Professional summary

Steven Martin Ruderman, CFP® is a registered financial advisor currently at NEAL FINANCIAL GROUP, L.P. located in Tomball, Texas.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Steven has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Employee and Employer Plan Ben...

Insurance Planning

Estate Planning

Comprehensive Financial Planni...

Investment Planning

Business Succession Planning

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 09/08/2009 - NO BUSINESS NAME - NON-VARIABLE INSURANCE - INV REL - AT REPORTED BUSINESS LOCATION - SELL FIXED LIFE INSURANCE AND ANNUITIES - 10% TIME SPENT. 2. 09/08/2009 - NO BUSINESS NAME - FINRA ABITRATOR - INV REL - AT REPORTED BUSINESS LOCATION - 1% TIME SPENT. 3. 2/8/2010 - Ruderman Financial Group - DBA for LPL Business (entity for LPL business) - INV REL - AT REPORTED BUSINESS LOCATION. 4. 2/8/2010 - Neal Financial Group, L.P. - Registered Investment Advisor DBA - (FP) Neal Financial Group, L.P. - INV REL - AT REPORTED BUSINESS LOCATION - IAR of Neal Financial Group, LP.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Martin Ruderman's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1992

Experience

Current

November 4, 2009 - Present

NEAL FINANCIAL GROUP, L.P.

Office #1: 19710 Fm 2920 Rd, Tomball, TX 77377

RIA

CRD#: 124112

Tomball, TX

Past

September 8, 2009 - December 31, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

TOMBALL, TX

Past

September 8, 2009 - December 31, 2024

LPL FINANCIAL LLC

CRD#: 6413

TOMBALL, TX

Past

March 29, 2000 - September 11, 2009

OSAIC FA, INC.

RIA

CRD#: 3978

HOUSTON, TX

Past

March 29, 2000 - May 5, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

March 29, 2000 - September 11, 2009

OSAIC FA, INC.

CRD#: 3978

HOUSTON, TX

Past

February 10, 1987 - March 16, 2000

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

July 31, 1986 - January 19, 1987

PLANVEST CAPITAL CORPORATION

CRD#: 14849

Past

July 24, 1984 - August 15, 1986

PILOT FINANCIAL SERVICES, INC.

CRD#: 7838

Past

July 20, 1983 - August 13, 1984

MORRISON, SCHULTE & CO., INC.

CRD#: 7785

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(11/4/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/19/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/1983

General Securities Representative Examination

Current Firm

NEAL FINANCIAL GROUP, L.P.

CRD#: 124112 / SEC#:

Texas

Registered Investment Advisory firm - (3/19/2003 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

19710 Fm 2920 Rd, Tomball, TX 77377

Mailing Address

Phone number

(713) 880-5337

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Casey Mack

THE SUM

IAR

The Woodlands, TX

Raymond Knezek

SEQUENT PLANNING, LLC

IAR

Houston, TX

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven M. Ruderman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Martin Ruderman's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

MONY SECURITIES CORPORATION

PLANVEST CAPITAL CORPORATION

PILOT FINANCIAL SERVICES, INC.

MORRISON, SCHULTE & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/19/1983

SIE

Date: 10/1/2018

Series 7

Date: 7/16/1983

Current Firm

NEAL FINANCIAL GROUP, L.P.

Contact information

Documents

Red Flags

Company Information

NEAL FINANCIAL GROUP, L.P.

TRUST BUT VERIFY

Contact information

Similar Advisors