Arthur R. Rule
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.
Arthur Richards Rule IV, who also goes by Rick Rule, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1986. Arthur had worked at 9 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7 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 28, 2024 - March 31, 2025
RULE ADVISORS, LLC
May 19, 2021 - December 31, 2022
RULE ADVISORS, LLC
August 1, 2013 - March 17, 2021
RESOURCE CAPITAL INVESTMENT CORPORATION
February 10, 2006 - March 17, 2021
SPROTT ASSET MANAGEMENT USA INC.
October 31, 2002 - July 3, 2003
RESOURCE CAPITAL INVESTMENT CORPORATION
May 19, 1994 - March 17, 2021
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
April 17, 1989 - December 7, 1994
TORREY PINES SECURITIES, INC.
August 2, 1988 - April 17, 1989
HAMILTON, WILLIAMS & CO., INC.
May 27, 1987 - March 1, 1988
BLISS SECURITIES, INC.
February 21, 1986 - August 19, 1986
VALUE EQUITIES CORPORATION
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
RULE ADVISORS, LLC
CRD#: 311723 / SEC#: 801-121087
Contact information
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 136,504,873 |
Red Flags
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