Ricky L. Ruffin
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.
Ricky Lynn Ruffin, who also goes by Rick Ruffin, was a registered financial professional .
Ricky is a previously registered financial professional and started their career in finance in 1987. Ricky had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2017 - July 31, 2017
FINTRUST BROKERAGE SERVICES, LLC
August 22, 2014 - May 15, 2015
B. RILEY WEALTH MANAGEMENT
May 17, 2012 - August 12, 2014
CANTOR FITZGERALD & CO.
October 21, 2009 - May 18, 2012
RAYMOND JAMES & ASSOCIATES, INC.
July 2, 2007 - October 6, 2009
TRUIST SECURITIES, INC.
June 2, 2005 - February 1, 2007
MORGAN STANLEY DW INC.
June 2, 2005 - February 1, 2007
MORGAN STANLEY DW INC.
July 13, 2004 - May 13, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 2004 - May 13, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 1998 - July 19, 2004
MORGAN KEEGAN & COMPANY, LLC
August 30, 1995 - May 22, 1998
J.C. BRADFORD & CO.
January 10, 1989 - April 9, 1991
BELMONT ASSET MANAGEMENT, INC.
February 2, 1987 - July 27, 1988
UMIC, INC.
State Registrations and Notice Filings
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Exams
Current Firm
FINTRUST BROKERAGE SERVICES, LLC
CRD#: 41608 / SEC#: , 8-49514
Contact information
Documents
Red Flags
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