Gary E. Ruland
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.
Gary Edward Ruland was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1988. Gary had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2004 - March 10, 2020
SECURITIES AMERICA, INC.
July 20, 1998 - July 30, 2004
EDWARD JONES
March 16, 1998 - July 31, 1998
STANDARD BROKERAGE SERVICES, INC.
November 4, 1996 - April 8, 1998
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
January 14, 1995 - November 1, 1996
THE HUNTINGTON INVESTMENT COMPANY
December 2, 1991 - June 10, 1993
SECURITIES AMERICA, INC.
June 25, 1991 - November 8, 1991
THE INVESTMENT CENTER, INC.
August 20, 1990 - July 1, 1991
EAST - WEST CAPITAL CORPORATION
June 1, 1989 - July 27, 1990
HORIZONS INTERNATIONAL CORPORATION
May 23, 1989 - June 6, 1989
CETERA WEALTH SERVICES, LLC
March 29, 1988 - May 23, 1989
PENNSYLVANIA SECURITIES COMPANY
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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
