Ruth M. Chanecka
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 M Chanecka, who also goes by Ruth Mary Dofton Chanecka, Ruth Chanecka, Ruth M Chanecka, Ruth Mary Dofton, was a registered financial professional .
Ruth is a previously registered financial professional and started their career in finance in 1983. Ruth had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 10, Series 9, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2013 - June 11, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 2008 - June 11, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 17, 2005 - April 18, 2008
CHARLES SCHWAB & CO., INC.
October 20, 2004 - April 22, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - April 22, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 28, 2002 - October 20, 2004
QUICK & REILLY, INC.
June 26, 1995 - October 20, 2004
QUICK & REILLY, INC.
October 26, 1987 - June 27, 1995
CPA ADVISORS NETWORK, INC.
October 25, 1984 - October 20, 1987
LESKO SECURITIES INC.
September 21, 1983 - October 18, 1984
CASTOCK CORP.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 3/3/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
