Rushton L. Ardrey
Professional summary
Rushton Leigh Ardrey III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rushton is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Rushton had worked at 9 firms, which includes NEWPORT COAST SECURITIES INC., BRAVER STERN SECURITIES LLC, REALTA EQUITIES INC., WELLS FARGO CLEARING SERVICES LLC, UBS FINANCIAL SERVICES INC., MORGAN STANLEY DW INC., CITIGROUP GLOBAL MARKETS INC., KILLEBREW & COMPANY INC., PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2014 - August 5, 2015
NEWPORT COAST SECURITIES, INC.
December 10, 2013 - October 2, 2014
BRAVER STERN SECURITIES LLC
December 3, 2013 - December 10, 2013
REALTA EQUITIES, INC.
September 18, 2009 - November 12, 2013
WELLS FARGO CLEARING SERVICES, LLC
February 18, 2005 - September 23, 2009
UBS FINANCIAL SERVICES INC.
December 17, 2002 - April 16, 2003
MORGAN STANLEY DW INC.
February 24, 2001 - February 22, 2005
MORGAN STANLEY DW INC.
June 15, 1992 - March 6, 2001
CITIGROUP GLOBAL MARKETS INC.
December 8, 1988 - March 4, 1989
KILLEBREW & COMPANY, INC.
July 27, 1987 - October 20, 1988
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Exams
Current Firm
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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