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Diana L. Ruhtenberg

Some features on this profile are disabled
CRD#: 1671444
DR

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.

Diana Libuano Ruhtenberg, who also goes by Diana Libunao Ruhtenberg, Diana Libunao Ruthenberg, was a registered financial professional .

Diana is a previously registered financial professional and started their career in finance in 1989. Diana had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Diana Libunao Ruhtenberg | Diana Libunao Ruthenberg

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.
FORTUNA INC. 63 SUMMITT WAY, GARDINER, MT 59030. FORTUNA INC IS THE INVESTMENT ARM OF CHURCH UNIVERSAL & TRIUMPHANT. DEVOTE 1 HOUR PER QUARTER FOR A PORTFOLIO REVIEW.

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

March 16, 2009 - November 26, 2023

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
HOUSTON, TX
Past

March 16, 2009 - November 26, 2023

OPPENHEIMER & CO. INC.

BD
CRD#: 249
HOUSTON, TX
Past

November 1, 2007 - March 16, 2009

STANFORD GROUP COMPANY

RIA
CRD#: 39285
HOUSTON, TX
Past

November 1, 2007 - March 16, 2009

STANFORD GROUP COMPANY

BD
CRD#: 39285
HOUSTON, TX
Past

December 2, 2005 - November 1, 2007

BNY INVESTMENT CENTER INC.

RIA
CRD#: 47683
HOUSTON, TX
Past

December 2, 2005 - November 1, 2007

BNY INVESTMENT CENTER INC.

BD
CRD#: 47683
HOUSTON, TX
Past

January 21, 2004 - December 13, 2005

PERSHING LLC

RIA
CRD#: 7560
HOUSTON, TX
Past

December 15, 2003 - December 13, 2005

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

November 24, 1998 - December 13, 2005

LOCKWOOD FINANCIAL SERVICES, INC.

RIA
CRD#: 40655
HOUSTON, TX
Past

November 23, 1998 - December 13, 2005

LOCKWOOD FINANCIAL SERVICES, INC.

BD
CRD#: 40655
MALVERN, PA
Past

July 31, 1993 - November 19, 1998

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 24, 1989 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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".
OPPENHEIMER & CO. INC.
OPPENHEIMER & CO. INC.
CAROLAN DIVISION OF OPPENHEIMER & CO. INC. | REPARIAN PARTNERS, DIVISION OF OPPENHEIMER & CO. INC. | PEARL STREET INVESTMENT MANAGEMENT , DIVISION OF OPPENHEIMER & C | OPPENHEIMER & CO. INC. | OMEGA SERVICES PROGRAM | NEWBOLD'S INVESTMENT ADVISORS | FIRST OF MICHIGAN DIVISION | FAHNESTOCK DIVISION OF OPPENHEIMER & CO. INC. | FAHNESTOCK ASSET MANAGEMENT DIVISION OF OPPENHEIMER & CO. INC. | FAHNESTOCK ASSET MANAGEMENT | FAHNESTOCK & CO., INC. | FAHNESTOCK & CO. INC. | EDWARD A. VINER & CO., INC. | CRANBROOK CAPITAL MANAGEMENT, INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA
Registered Investment Advisory firm - SEC (2/9/1955 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

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
IAR
Series 65
Date: 10/30/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/15/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/26/1989
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1989
General Securities Representative Examination

Current Firm

OPPENHEIMER & CO. INC.
OPPENHEIMER & CO. INC.
CAROLAN DIVISION OF OPPENHEIMER & CO. INC. | REPARIAN PARTNERS, DIVISION OF OPPENHEIMER & CO. INC. | PEARL STREET INVESTMENT MANAGEMENT , DIVISION OF OPPENHEIMER & C | OPPENHEIMER & CO. INC. | OMEGA SERVICES PROGRAM | NEWBOLD'S INVESTMENT ADVISORS | FIRST OF MICHIGAN DIVISION | FAHNESTOCK DIVISION OF OPPENHEIMER & CO. INC. | FAHNESTOCK ASSET MANAGEMENT DIVISION OF OPPENHEIMER & CO. INC. | FAHNESTOCK ASSET MANAGEMENT | FAHNESTOCK & CO., INC. | FAHNESTOCK & CO. INC. | EDWARD A. VINER & CO., INC. | CRANBROOK CAPITAL MANAGEMENT, INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA
Registered Investment Advisory firm - SEC (2/9/1955 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
85 Broad Street 22nd Floor, New York, NY 10004
Mailing Address
85 Broad Street 22nd Floor, Ny, NY 10004
Phone number
(212) 668-8000
Established
New York since 12/23/1954
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
2,883

SEC notice filing (53 States and Territories)

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

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

OPPENHEIMER CO. INC. PART 2A APPENDIX 1 (3/27/2025)
OPPENHEIMER CO. INC. PART 2A OF FORM ADV (3/27/2025)

Direct owners and executive officers

NamePositionCRD#
VINER FINANCE INC.PARENT CO.
CASSIDY, THOMAS EDWARDMANAGING DIRECTOR4502955
GIORDANO, PETER JOHNMANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER2921308
HARRINGTON, EDWARD PATRICKEXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES2566682
LOWENTHAL, ALBERT GRINSFELDEREXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L313519
LOWENTHAL, ROBERT STEVENCEO-PRESIDENT-DIRECTOR1639913
MCNAMARA, DENNIS PATRICKE.V.P./CLO/SECRETARY2938486
MOLOKIE JR, LEON EEXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER1743402
VALENTINO, DOMINIC THOMASCHIEF COMPLIANCE OFFICER6940515
WATKINS, BRAD MICHAELDIRECTOR-EXECUTIVE VICE PRESIDENT-CFO6319251

Regulatory assets under management

Total Number of Accounts37,605
AUM (Assets Under Management)$ 32,418,994,154

Disclosures

Regulatory Event102
Civil Event1
Arbitration180
Bond2

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/24/2025
Cover Page
Report
10/25/2023
Cover Page
Report
02/24/2023
Cover Page
Report

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

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CRD#: 249

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