JR
John M. Ruff
SOWELL MANAGEMENT
Ft Meyers, FL
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CRD#: 1254423
JR
Professional summary
John Mark Ruff is a registered financial advisor currently at SOWELL MANAGEMENT located in Ft Meyers, Florida.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. John has worked at 6 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view John Mark Ruff'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®
NoneExperience
Current
October 19, 2021 - Present
SOWELL MANAGEMENT
RIA
CRD#: 127145
Ft Meyers, FL
Past
September 2, 2021 - September 2, 2021
SOWELL MANAGEMENT
RIA
CRD#: 127145
Ft. Myers, FL
Past
January 7, 2011 - July 8, 2011
MSC - BD, LLC
BD
CRD#: 142927
LAKE OSWEGO, OR
Past
September 16, 2008 - October 14, 2021
NAMCOA
RIA
CRD#: 133978
Fort Myers, FL
Past
September 8, 2008 - January 21, 2010
MSC - BD, LLC
BD
CRD#: 142927
FORT MYERS, FL
Past
February 9, 2007 - September 16, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
FORT MYERS, FL
Past
February 9, 2007 - September 16, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
FORT MYERS, FL
Past
June 5, 1992 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
FORT MYERS, FL
Past
June 5, 1992 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
FORT MYERS, FL
Past
April 18, 1984 - June 16, 1992
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SM
SOWELL MANAGEMENT
10X WEALTH ADVISORS, INC. | ZENITH GROUP, LLC | XO ADVISORS | WORRELL ADVISORY SERVICES | WISDOMWEALTH FINANCIAL | WILLOW OAK WEALTH | WESTERN FINANCIAL, LLC | WEAVER CAPITAL ADVISORS | WEALTHCARE ADVISORS | WEALTH MANAGEMENT PARTNERS | WEALTH IN OVERDRIVE | WAYFINDER CAPITAL, LLC | WATTS WEALTH MANAGEMENT | VERDEO FINANCIAL & INSURANCE STRATEGIES | VALUE WEALTH | TRIUMPHANT PORTFOLIO MANAGEMENT, LLC | TREK WEALTH SOLUTIONS | THE AUGUST WEALTH MANAGEMENT GROUP | TETON WEALTH GROUP | SUNSET WEST ADVISORS, LLC | SUMMATION INVESTMENT ADVISORY | STRATEGIC PLANNING CORPORATION | STRATEGIC FINANCIAL PLANNING, LLC | SOWELL MANAGEMENT SERVICES | SOWELL MANAGEMENT | SOWELL FINANCIAL SERVICES, LLC | SOWELL FINANCIAL SERVICES | SOWELL FINANCIAL ADVISORS | SOWELL ADVISORS | SOUTHCOAST FINANCIAL GROUP | SOUND WEALTH, LLC | SOLERA ASSET MANAGERS & INSURANCE AGENCY, LLC | SOLERA ASSET MANAGERS | SOLERA ASSET MANAGEMENT & INSURANCE | SENTINEL WEALTH STRATEGIES | SC WEALTH MANAGEMENT | SAPPHIRE WEALTH MANAGEMENT | RIVERS INVESTMENT GROUP | REVIRESCO WEALTH ADVISORY | REPPOND INVESTMENTS | REAGAN HOLLOWAY | PROVIDENCE FINANCIAL GROUP, INC. | PRESCAP ADVISORS LLC | POYNTER CAPITAL INC. | PNW PREMIER WEALTH | PLATINUM WEALTH MANAGEMENT | PEGASUS FINANCIAL PLANNING | PEAR TREE WEALTH MANAGEMENT | PARAGON WEALTH COUNSELORS | NORTHSTAR WEALTH MANAGEMENT INC. | NORTH STAR WEALTH MANAGEMENT LLC | NEW WAVE WEALTH ADVISORS, LLC | NEST FINANCIAL LLC | NESHER WEALTH | MULLENNIUM FINANCE, LLC | MT. BAKER CAPITAL, L.L.C. | MORGAN STRATEGIC WEALTH, LLC | MIDWEST INVESTMENT AND BUSINESS ADVISORS, PLLC | MENLO OAKS CAPITAL GROUP | MADISON PARK ADVISORS | LONDON HOUSE CAPITAL | LIGHTHOUSE WEALTH STRATEGIES | LIFESMART WEALTH MANAGEMENT, LLC | LIFESMART FINANCIAL ADVISORS, LLC | LEWIN & ASSOCIATES, INC | LEINSTER FINANCIAL | LAMPE FINANCIAL, LLC | LAMPE FINANCIAL GROUP, LLC | KUMQUAT, LLC | KAN WEALTH MANAGEMENT | JB INDEPENDENT FINANCIAL, INC. | JB INDEPENDENT FINANCIAL | JAMES GRAHAN | JACOBS FINANCIAL ADVISORS | IPSEN ADVISOR GROUP | INTEGRA PRIVATE WEALTH MANAGEMENT | HUNT WEALTH MANAGEMENT | HERITAGE OAK WEALTH ADVISORS, LLC | HARVEST MOON WEALTH ADVISORS | GOAL LINE WEALTH MANAGMENT | GENERATIONS INVESTMENT ADVISORS, LLC | FORTRESS MEGA | FORTRESS FINANCIAL | FORECAST CAPITAL MANAGEMENT, INC | FONTIS INVESTMENTS | FIRST FINANCIAL SERVICES, LLC | EXIGENT WEALTH COUNSELORS LLC | EVIDENCE BASED ADVISORS, LLC | EPERSONAL FINANCIAL | ENDURANCE FINANCIAL | ELLIS WEALTH ADVISORS | ELEMENT FINANCIAL L.L.C. | EKW ADVANTAGE | EAGLE EYE ADVISORS | DS FINANCIAL STRATEGIES | DJF INVESTMENT CORPORATION | DIANNE MAE FINANCIAL | CORINTHIAN WEALTH MANAGEMENT | COOPERATIVE FINANCIAL, LLC | COMPENSATION DESIGNS | CLINTON WEALTH MANAGEMENT LLC | CLINTON WEALTH MANAGEMENT | CLEARWEALTH ASSET MANAGEMENT | CLEARWEALTH | CLARUS WEALTH MANAGEMENT | CHARTED CAPITAL, LLC | CENTRAL COAST WEALTH ADVISORS, LLC | CAYUCOS WEALTH | CATALYST COUNSELORS | CADENCE CAPITAL MANAGEMENT | BUIS CAPITAL MANAGEMENT | BRINGHURST FINANCIAL SERVICE, L.L.L. | BELLWETHER ADVISORY GROUP, LLC | BARRY L. MOSS & ASSOCIATES, INC. | BARCLAY BRELAND FAMILY OFFICE | AUGUST WEALTH MANAGEMENT GROUP | APEX ASSET ADVISORS, LLC | AMICUS FINANCIAL | ALEXIS INVESTMENT PARTNERS, LLC | AIT WEALTH MANAGEMENT | ADVISORY FIDUCIARY | ADVISORS 360
CRD#: 127145 / SEC#: 801-63991
RIA
Registered Investment Advisory firm - (5/27/2005 Approved)Arkansas
Registered Investment Advisory firm - (3/1/2005 Terminated)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
Florida(10/19/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
SM
SOWELL MANAGEMENT
10X WEALTH ADVISORS, INC. | ZENITH GROUP, LLC | XO ADVISORS | WORRELL ADVISORY SERVICES | WISDOMWEALTH FINANCIAL | WILLOW OAK WEALTH | WESTERN FINANCIAL, LLC | WEAVER CAPITAL ADVISORS | WEALTHCARE ADVISORS | WEALTH MANAGEMENT PARTNERS | WEALTH IN OVERDRIVE | WAYFINDER CAPITAL, LLC | WATTS WEALTH MANAGEMENT | VERDEO FINANCIAL & INSURANCE STRATEGIES | VALUE WEALTH | TRIUMPHANT PORTFOLIO MANAGEMENT, LLC | TREK WEALTH SOLUTIONS | THE AUGUST WEALTH MANAGEMENT GROUP | TETON WEALTH GROUP | SUNSET WEST ADVISORS, LLC | SUMMATION INVESTMENT ADVISORY | STRATEGIC PLANNING CORPORATION | STRATEGIC FINANCIAL PLANNING, LLC | SOWELL MANAGEMENT SERVICES | SOWELL MANAGEMENT | SOWELL FINANCIAL SERVICES, LLC | SOWELL FINANCIAL SERVICES | SOWELL FINANCIAL ADVISORS | SOWELL ADVISORS | SOUTHCOAST FINANCIAL GROUP | SOUND WEALTH, LLC | SOLERA ASSET MANAGERS & INSURANCE AGENCY, LLC | SOLERA ASSET MANAGERS | SOLERA ASSET MANAGEMENT & INSURANCE | SENTINEL WEALTH STRATEGIES | SC WEALTH MANAGEMENT | SAPPHIRE WEALTH MANAGEMENT | RIVERS INVESTMENT GROUP | REVIRESCO WEALTH ADVISORY | REPPOND INVESTMENTS | REAGAN HOLLOWAY | PROVIDENCE FINANCIAL GROUP, INC. | PRESCAP ADVISORS LLC | POYNTER CAPITAL INC. | PNW PREMIER WEALTH | PLATINUM WEALTH MANAGEMENT | PEGASUS FINANCIAL PLANNING | PEAR TREE WEALTH MANAGEMENT | PARAGON WEALTH COUNSELORS | NORTHSTAR WEALTH MANAGEMENT INC. | NORTH STAR WEALTH MANAGEMENT LLC | NEW WAVE WEALTH ADVISORS, LLC | NEST FINANCIAL LLC | NESHER WEALTH | MULLENNIUM FINANCE, LLC | MT. BAKER CAPITAL, L.L.C. | MORGAN STRATEGIC WEALTH, LLC | MIDWEST INVESTMENT AND BUSINESS ADVISORS, PLLC | MENLO OAKS CAPITAL GROUP | MADISON PARK ADVISORS | LONDON HOUSE CAPITAL | LIGHTHOUSE WEALTH STRATEGIES | LIFESMART WEALTH MANAGEMENT, LLC | LIFESMART FINANCIAL ADVISORS, LLC | LEWIN & ASSOCIATES, INC | LEINSTER FINANCIAL | LAMPE FINANCIAL, LLC | LAMPE FINANCIAL GROUP, LLC | KUMQUAT, LLC | KAN WEALTH MANAGEMENT | JB INDEPENDENT FINANCIAL, INC. | JB INDEPENDENT FINANCIAL | JAMES GRAHAN | JACOBS FINANCIAL ADVISORS | IPSEN ADVISOR GROUP | INTEGRA PRIVATE WEALTH MANAGEMENT | HUNT WEALTH MANAGEMENT | HERITAGE OAK WEALTH ADVISORS, LLC | HARVEST MOON WEALTH ADVISORS | GOAL LINE WEALTH MANAGMENT | GENERATIONS INVESTMENT ADVISORS, LLC | FORTRESS MEGA | FORTRESS FINANCIAL | FORECAST CAPITAL MANAGEMENT, INC | FONTIS INVESTMENTS | FIRST FINANCIAL SERVICES, LLC | EXIGENT WEALTH COUNSELORS LLC | EVIDENCE BASED ADVISORS, LLC | EPERSONAL FINANCIAL | ENDURANCE FINANCIAL | ELLIS WEALTH ADVISORS | ELEMENT FINANCIAL L.L.C. | EKW ADVANTAGE | EAGLE EYE ADVISORS | DS FINANCIAL STRATEGIES | DJF INVESTMENT CORPORATION | DIANNE MAE FINANCIAL | CORINTHIAN WEALTH MANAGEMENT | COOPERATIVE FINANCIAL, LLC | COMPENSATION DESIGNS | CLINTON WEALTH MANAGEMENT LLC | CLINTON WEALTH MANAGEMENT | CLEARWEALTH ASSET MANAGEMENT | CLEARWEALTH | CLARUS WEALTH MANAGEMENT | CHARTED CAPITAL, LLC | CENTRAL COAST WEALTH ADVISORS, LLC | CAYUCOS WEALTH | CATALYST COUNSELORS | CADENCE CAPITAL MANAGEMENT | BUIS CAPITAL MANAGEMENT | BRINGHURST FINANCIAL SERVICE, L.L.L. | BELLWETHER ADVISORY GROUP, LLC | BARRY L. MOSS & ASSOCIATES, INC. | BARCLAY BRELAND FAMILY OFFICE | AUGUST WEALTH MANAGEMENT GROUP | APEX ASSET ADVISORS, LLC | AMICUS FINANCIAL | ALEXIS INVESTMENT PARTNERS, LLC | AIT WEALTH MANAGEMENT | ADVISORY FIDUCIARY | ADVISORS 360
CRD#: 127145 / SEC#: 801-63991
RIA
Registered Investment Advisory firm - (5/27/2005 Approved)Arkansas
Registered Investment Advisory firm - (3/1/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5320 Northshore Drive, North Little Rock, AR 72118
Mailing Address
Phone number
(501) 219-2434
Established
Firm type
Fiscal year end
# of Employees
146
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 13,257 |
| AUM (Assets Under Management) | $ 4,230,990,937 |
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.
