Ruth Ann E Oftring
Professional Summary
Ruth Ann E Oftring, who also goes by Ruth Ann E Meagher, is a registered financial advisor currently at CAPITOL SECURITIES MANAGEMENT, INC. located in Worcester, Massachusetts. Ruth is registered as a RR (Registered Representative) and started their career in finance in 2003. Ruth has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ruth Ann E Meagher
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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.
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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.
Contact Information
Main Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060Mailing Address
4050 Innslake Drive Suite 250, Glen Allen, VA 23060Phone Number
(804) 612-9700Established
Virginia since 03/22/1981Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
170SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
3,970AUM (Assets Under Management)
$2,162,366,778Disclosures
Regulatory Event
10Arbitration
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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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Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC. | IFS SECURITIES, INC. | FS SECURITIES, INC.
State Registrations and Notice Filings
(12/20/2017)
(7/29/2009)
(5/26/2009)
(5/27/2009)
(1/3/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Ruth Ann E Oftring's CRS (Customer Relationship Summary).
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