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RR

Richard A. Ruderman

KR SECURITIES
Princeton, NJ 08540
Some features on this profile are disabled
CRD#: 1391970
RR

Professional summary

Richard Alan Ruderman is a registered financial professional currently at KR SECURITIES, LLC located in Princeton, New Jersey.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 4 firms and has passed the Series 99TO, SIE, Series 7 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 Richard Alan Ruderman'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

January 14, 1999 - Present

KR SECURITIES, LLC

Office #1: 600 Pretty Brook Road, Princeton, NJ 08540Office #2: 600 Pretty Brook Road, Princeton, NJ 08540
BD
CRD#: 46152
Princeton, NJ
Past

March 14, 2003 - October 30, 2003

HERMES INVESTMENT ADVISERS LLC

RIA
CRD#: 125707
PRINCETON, NJ
Past

February 11, 1999 - December 31, 2003

K R FINANCIAL LLC

RIA
CRD#: 111282
PRINCETON, NJ
Past

July 23, 1985 - March 11, 1999

CARNEGIE HILL SECURITIES CORPORATION

BD
CRD#: 15230
PRINCETON, NJ

State Registrations and Notice Filings

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

RR
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

RR
Florida
(6/8/1999)
RR
New Jersey
(4/5/1999)

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/30/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KS
KR SECURITIES, LLC
KR SECURITIES, LLC

CRD#: 46152 / SEC#: , 8-51337

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

Main Address
600 Pretty Brook Road, Princeton, NJ 08540
Mailing Address
P.o. Box 7787, Princeton, NJ 08543-7787
Phone number
(609) 924-2500
Established
Delaware since 08/21/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 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#
KRIEGER, RUDERMAN & CO., LLCSOLE SHAREHOLDER
GILMORE, WALTER ALANCCO AND FINOP AND EXECUTIVE OFFICER1996728
RUDERMAN, RICHARD ALANPRESIDENT, COO, DIR, SCTY, TREASURER1391970

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

KR SECURITIES, LLC

CRD#: 46152Princeton, NJ 08540

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