Brian R. Carruthers
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.
Brian Roger Carruthers, CFP® was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1985. Brian had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1988
Experience
July 14, 2005 - April 7, 2025
BRIAN CARRUTHERS & ASSOCIATES
April 17, 1991 - May 26, 1992
OSAIC WEALTH, INC.
December 4, 1987 - August 16, 1988
IPN INVESTMENT SERVICES, INC.
February 12, 1986 - August 11, 1987
GRANITE CAPITAL
August 21, 1985 - December 18, 1985
PRUCO SECURITIES, LLC.
January 23, 1985 - June 10, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
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
BRIAN CARRUTHERS & ASSOCIATES
CRD#: 131140 / SEC#: 801-63031
Contact information
Regulatory assets under management
| Total Number of Accounts | 90 |
| AUM (Assets Under Management) | $ 86,000,000 |
Red Flags
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