Tommy Lee Ruff
Professional Summary
Tommy Lee Ruff was a registered financial advisor. Tommy was a previously registered financial advisor and started their career in finance 1986 - 2004. Tommy had worked at 11 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 6, Series 28, Series 24 and Series 30 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST FINANCIAL BROKERAGE SERVICES, INC.
Contact Information
Established
Arkansas since 06/12/1997Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed May 1986About the Series 6 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jul 2000About the Series 28 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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