Tommy L. Ruff
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.
Tommy Lee Ruff was a registered financial advisor .
Tommy is a previously registered financial advisor and started their career in finance in 1986. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 1997 - March 29, 2004
FIRST FINANCIAL BROKERAGE SERVICES, INC.
February 13, 1997 - November 26, 1997
FSC SECURITIES CORPORATION
April 11, 1994 - May 25, 2005
FIRST FINANCIAL ADVISORS, INC.
May 24, 1993 - February 6, 1997
VOYA FINANCIAL ADVISORS, INC.
March 19, 1992 - May 17, 1993
WOODBURY FINANCIAL SERVICES, INC.
October 18, 1991 - March 10, 1992
LOCUST STREET SECURITIES, INC.
September 27, 1990 - October 2, 1991
MONY SECURITIES CORPORATION
August 16, 1990 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
February 23, 1990 - August 8, 1990
FIDELITY EQUITY SERVICES CORPORATION
January 9, 1989 - December 31, 1989
B.C. CHRISTOPHER SECURITIES CO.
May 29, 1986 - November 5, 1988
PRINCIPAL SECURITIES, 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 28
Date: 7/28/2000
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FIRST FINANCIAL BROKERAGE SERVICES, INC.
CRD#: 43663 / SEC#: , 8-50358
Contact information
Documents
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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