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DR

Donald L. Ruffin

PARK SQUARE FINANCIAL GROUP
ROSWWELL, GA 30075
Some features on this profile are disabled
CRD#: 1594696
DR

Professional summary

Donald Leonard Ruffin, CFP®, who also goes by Don Ruffin, is a registered financial advisor currently at PARK SQUARE FINANCIAL GROUP LLC located in Roswwell, Georgia.

Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Donald has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Don Ruffin

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) - RIA

Click below to view Donald Leonard Ruffin's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2006

Experience

Current

September 16, 2024 - Present

PARK SQUARE FINANCIAL GROUP LLC

Office #1: 55 Park Square, Roswwell, GA 30075
RIA
CRD#: 332268
ROSWWELL, GA
Past

September 9, 2019 - September 18, 2024

CSENGE ADVISORY GROUP, LLC

RIA
CRD#: 131167
Roswell, GA
Past

August 30, 2019 - September 19, 2024

LION STREET FINANCIAL, LLC

BD
CRD#: 165828
ROSWELL, GA
Past

May 4, 2006 - September 6, 2019

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
ROSWELL, GA
Past

April 26, 2006 - September 6, 2019

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ROSWELL, GA
Past

January 18, 2006 - May 3, 2006

SUMMIT FINANCIAL GROUP INC

RIA
CRD#: 109485
ROSWELL, GA
Past

February 16, 2001 - May 3, 2006

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
ROSWELL, GA
Past

April 5, 1999 - February 9, 2001

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PS
PARK SQUARE FINANCIAL GROUP LLC
PARK SQUARE | PARK SQUARE FINANCIAL GROUP, LLC | PARK SQUARE FINANCIAL GROUP LLC

CRD#: 332268 / SEC#: 801-131121

RIA
Registered Investment Advisory firm - (9/13/2024 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Georgia
(9/18/2024)
IAR
Texas
(9/16/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/27/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/26/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/2/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 4/27/1999
Investment Company Products/Variable Contracts Principal Examination

Current Firm

PS
PARK SQUARE FINANCIAL GROUP LLC
PARK SQUARE | PARK SQUARE FINANCIAL GROUP, LLC | PARK SQUARE FINANCIAL GROUP LLC

CRD#: 332268 / SEC#: 801-131121

RIA
Registered Investment Advisory firm - (9/13/2024 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
55 Park Square Ste 103, Roswell, GA 30075
Mailing Address
Phone number
(770) 641-1401
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (2/19/2025)
WRAP BROCHURE (2/19/2025)

Regulatory assets under management

Total Number of Accounts736
AUM (Assets Under Management)$ 208,169,989

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

PARK SQUARE FINANCIAL GROUP LLC

CRD#: 332268Roswwell, GA 30075

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