Ruth E. Sully
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 Elaine Sully was a registered financial professional .
Ruth is a previously registered financial professional and started their career in finance in 1984. Ruth had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 51 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
November 2, 2018 - January 11, 2021
EDELMAN FINANCIAL ENGINES
August 5, 2016 - October 31, 2018
RETIREONE INVESTMENT SERVICES, LLC
June 28, 2013 - November 2, 2018
EDELMAN FINANCIAL SERVICES, LLC
June 21, 2006 - December 31, 2013
SANDERS MORRIS LLC
April 10, 2003 - May 29, 2013
INVESTOR FINANCIAL SOLUTIONS
July 31, 2002 - December 31, 2006
SMH CAPITAL ADVISORS LLC
July 1, 2002 - October 21, 2002
INVESTOR FINANCIAL SOLUTIONS
November 21, 2001 - August 5, 2016
SANDERS MORRIS LLC
May 23, 1996 - November 21, 2001
IFG NETWORK SECURITIES, INC.
December 5, 1990 - June 4, 1996
KEOGLER, MORGAN & COMPANY, INC.
August 31, 1988 - December 11, 1990
TRANSAMERICA SECURITIES SALES CORPORATION
August 31, 1988 - December 11, 1990
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 8, 1984 - August 20, 1988
WADDELL & REED
Primary Firm SEC Registration
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
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
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,552,934 |
| AUM (Assets Under Management) | $ 292,902,969,770 |
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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