Douglas S. Ruth

LENOX CAPITAL MANAGEMENT

NEW LENOX, IL 60451-1993

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CRD#: 1381205

Professional summary

Douglas Scott Ruth, who also goes by Doug Ruth, is a registered financial advisor currently at LENOX CAPITAL MANAGEMENT, INC. located in New Lenox, Illinois and LENOX FINANCIAL SERVICES, INC. located in New Lenox, Illinois.

Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Douglas has worked at 3 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 87, Series 86, Series 7, Series 14, Series 28, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Doug Ruth

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.

PRESIDENT/OWNER OF LENOX CAPITAL MANAGEMENT, INC. A REGISTERED INVESTMENT ADVISOR EFFECTIVE APRIL 1997. PRESIDENT/OWNER OF DOUGLAS RUTH FINANCIAL SERVICES, INC. AN INSURANCE AGENT FOR LIFE, HEALTH AND DENTAL EFFECTIVE NOVEMBER 1998. TB CLINIC - SERVE AS A BOARD MEMBER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Scott Ruth'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®

None

Experience

Current

May 23, 1998 - Present

LENOX CAPITAL MANAGEMENT, INC.

Office #1: 400 East Lincoln Hwy, New Lenox, IL 60451-1993

RIA

CRD#: 124971

NEW LENOX, IL

Current

July 26, 1994 - Present

LENOX FINANCIAL SERVICES, INC.

Office #1: 322 Alana Drive, New Lenox, IL 60451Office #2: 322 Alana Drive, New Lenox, IL 60451

CRD#: 36379

New Lenox, IL

Past

June 20, 1985 - August 3, 1994

DREHER & ASSOCIATES, INC.

CRD#: 8665

OAKBROOK TERRACE, IL

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(6/26/2012)

Florida
(6/28/2012)

Illinois
(7/28/1994)

IAR

Illinois
(5/23/1998)

Indiana
(1/30/1995)

New York
(6/26/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/5/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 12/18/2012

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 8/10/2007

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 6/15/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 28

Date: 2/25/1994

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 12/7/1993

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/2/1993

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LENOX CAPITAL MANAGEMENT, INC.

CRD#: 124971 / SEC#: 801-68884

RIA

Registered Investment Advisory firm - (6/5/2012 Terminated)

Illinois

Registered Investment Advisory firm - (4/24/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

322 Alana Drive, New Lenox, IL 60451-1784

Mailing Address

Phone number

(815) 485-5559

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	826
AUM (Assets Under Management)	$ 59,826,720

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.

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Advisor Monitoring

Firm Stability Insights

Douglas S. Ruth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Scott Ruth's CRS (Customer Relationship Summary).

Certified licenses

Experience

LENOX FINANCIAL SERVICES, INC.

DREHER & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/5/1985

Series 52TO

Date: 9/25/2025

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 87

Date: 12/18/2012

Series 86

Date: 8/10/2007

Series 7

Date: 6/15/1985

Series 14

Date: 1/2/2023

Series 28

Date: 2/25/1994

Series 53

Date: 12/7/1993

Series 24

Date: 11/2/1993

FINRA

Current Firm

LENOX CAPITAL MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LENOX CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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