Ruth A. Burgess
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 Ann Burgess, who also goes by Ruth Ann Solverson, was a registered financial professional .
Ruth is a previously registered financial professional and started their career in finance in 1985. Ruth had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 8 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
March 31, 1999 - December 31, 2000
INVESTMENT CENTERS OF AMERICA, INC.
March 26, 1999 - September 22, 2016
INVEST FINANCIAL CORPORATION
March 25, 1999 - September 22, 2016
INVEST FINANCIAL CORPORATION
December 20, 1993 - February 26, 1999
FIRSTAR INVESTMENT SERVICES,INC.
June 21, 1993 - December 22, 1993
FIMCO SECURITIES GROUP, INC.
October 26, 1989 - June 28, 1993
ROBERT W. BAIRD & CO. INCORPORATED
June 9, 1988 - October 11, 1989
LISS FINANCIAL SERVICES
December 17, 1985 - April 26, 1988
FREDERICK & COMPANY, INC.
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
Series 8
Date: 9/8/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INVESTMENT CENTERS OF AMERICA, INC.
CRD#: 16443 / SEC#: 801-56410, 8-33983
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVEST FINANCIAL CORPORATION | DIRECT OWNER | 12984 |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP/COO | 2770565 |
| KOMOSZEWSKI, JAMES ANTHONY | PRESIDENT/CEO/DIRECTOR | 2833256 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND ICA SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
| Bond | 3 |
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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