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RR

Ramona R. Ruppert

VOYA INVESTMENTS DISTRIBUTOR
Windsor, CT 06095
Some features on this profile are disabled
CRD#: 1283829
RR

Professional summary

Ramona Rae Ruppert is a registered financial professional currently at VOYA INVESTMENTS DISTRIBUTOR, LLC located in Windsor, Connecticut.

Ramona is registered as a RR (Registered Representative) and started their career in finance in 1987. Ramona has worked at 10 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ramona Rae Ruppert's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 6, 2023 - Present

VOYA INVESTMENTS DISTRIBUTOR, LLC

Office #1: One Orange Way, Windsor, CT 06095
BD
CRD#: 37886
Windsor, CT
Past

June 13, 2022 - April 12, 2023

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
Minneapolis, MN
Past

January 3, 2011 - March 9, 2020

NUVEEN SECURITIES, LLC

BD
CRD#: 469
MINNEAPOLIS, MN
Past

February 3, 2010 - January 21, 2011

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
MINNEAPOLIS, MN
Past

February 17, 2006 - January 3, 2011

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
MINNEAPOLIS, MN
Past

February 18, 2003 - August 19, 2004

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
MINNEAPOLIS, MN
Past

January 24, 1997 - August 19, 2004

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

January 15, 1993 - July 25, 1996

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

September 21, 1992 - November 16, 1992

J.D. COPPERFIELD, LTD.

BD
CRD#: 13036
Past

February 22, 1988 - July 29, 1992

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963
Past

October 26, 1987 - January 12, 1988

WALL STREET WEST, INC.

BD
CRD#: 7529
Past

July 16, 1987 - October 27, 1987

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/27/1998
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/1/1991
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/15/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/12/1991
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

VI
VOYA INVESTMENTS DISTRIBUTOR, LLC
ING FUNDS DISTRIBUTOR, INC. | VOYA INVESTMENTS DISTRIBUTOR, LLC | PILGRIM SECURITIES, INC. | PILGRIM AMERICA SECURITIES, INC. | NEWCO DISTRIBUTORS CORPORATION | ING PILGRIM SECURITIES, INC. | ING INVESTMENTS DISTRIBUTOR, LLC | ING FUNDS DISTRIBUTOR, LLC

CRD#: 37886 / SEC#: , 8-48020

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
(860) 275-2110
Established
Delaware since 10/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VOYA FUNDS SERVICES, LLCSOLE SHAREHOLDER
EASTON, STEPHEN JOSEPHCHIEF COMPLIANCE OFFICER3150168
POTESTA, TIFFANI ANNECEO, PRESIDENT, DIRECTOR & HEAD OF INTERMEDIARY DISTRIBUTION4042592
WILLINGHAM, CATRINAFINANCIAL OPERATIONS PRINCIPAL7025979

Disclosures

Regulatory Event1

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.

Company Information

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886Windsor, CT 06095

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