Dwight Ruddell
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.
Dwight Ruddell, who also goes by Melvin Dwight Ruddell, was a registered financial professional .
Dwight is a previously registered financial professional and started their career in finance in 1987. Dwight had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 1991 - May 12, 1992
THE ADVISORS GROUP, INC.
August 21, 1989 - May 7, 1991
GLENFED BROKERAGE SERVICES
April 24, 1989 - November 5, 1991
CAPITAL BROKERAGE CORPORATION
March 17, 1988 - May 10, 1989
METROPOLITAN LIFE INSURANCE COMPANY
March 17, 1988 - May 10, 1989
MSI FINANCIAL SERVICES, INC.
November 13, 1987 - December 4, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
September 22, 1987 - October 15, 1987
INTERFIRST CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE ADVISORS GROUP, INC.
CRD#: 14035 / SEC#: , 8-28461
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMAL CORPORATION | 100% OWNER OF THE ADVISORS GROUP, INC. | |
| ARITURK, HALUK | DIRECTOR | 1149006 |
| BARRY, MICHELLE ANNE | VICE PRESIDENT, ADVISORY SERVICES | 2744539 |
| GLAZER, DAVID ANDREW | REGIONAL VICE PRESIDENT | 1149058 |
| HARVEY, JAMES EDWARD | HONORARY DIRECTOR | 4424791 |
| HEILMAN, CHERYL LYNN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2114445 |
| HITCHCOCKGEAR, SALENE MARIE | PRESIDENT/CHIEF EXECUTIVE OFFICER | 2590328 |
| NASON, CHARLES TUCKEY | CHAIRMAN OF BOARD OF DIRECTORS | 345075 |
| OSS, STEVEN MICHAEL | FINOP | 4696804 |
| OWENS, BRIAN JOHN | HONORARY DIRECTOR | 354641 |
| SANDS, ROBERT JOHN HAMILTON | DIRECTOR | 1107457 |
| SNYDER, REX BALES | VICE PRESIDENT, CHIEF SUPERVISORY OFFICER | 1061633 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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