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DR

David L. Rutkoske

Some features on this profile are disabled
CRD#: 1496393
DR

Professional summary

David Lloyd Rutkoske was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, David had worked at 5 firms, which includes LLOYD WADE SECURITIES INC., MEYERS POLLOCK ROBBINS INC., PACIFIC CORTEZ SECURITIES INCORPORATED, WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, H.J. MEYERS & CO. INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

David L Rutkoske

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 1, 1996 - July 2, 2001

LLOYD WADE SECURITIES INC.

BD
CRD#: 39653
DALLAS, TX
Past

December 21, 1995 - June 28, 1996

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
NEW YORK, NY
Past

January 3, 1995 - December 20, 1995

PACIFIC CORTEZ SECURITIES INCORPORATED

BD
CRD#: 24341
SAN DIEGO, CA
Past

January 13, 1994 - December 22, 1994

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

May 9, 1986 - January 10, 1994

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/21/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/14/1996
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/25/1990
General Securities Principal Examination

Current Firm

LW
LLOYD WADE SECURITIES INC.
LLOYD WADE SECURITIES INC.

CRD#: 39653 / SEC#: , 8-48781

BD
Cancelled by SEC on 02/24/2003
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 09/29/1995
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LYNX FINANCIAL SERVICES, INC.STOCKHOLDER
GENTILELLA, JOHN ANTHONYASO
GRAVEN, DAVID ECHIEF LEGAL OFFICER
HARRIS, INGRID CRISTINACHIEF FINANCIAL OFFICER
MORROW, HARVEY STEPHENASO
NIEBUHR, MICHAEL ARTHURHEAD TRADER
RUTKOSKE, DAVID LLOYDPRESIDENT
VALLETTE, CATHERINE JAYNECHIEF COMPLIANCE OFFICER

Disclosures

Regulatory Event9
Arbitration6

Red Flags

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.

Company Information

LLOYD WADE SECURITIES INC.

CRD#: 39653

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