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SR

Samuel A. Ruth

Some features on this profile are disabled
CRD#: 1848789
SR

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.

Samuel Alan Ruth, who also goes by Sam Ruth, was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 1988. Samuel had worked at 15 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sam Ruth

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.
The advisor shows no other business activity.

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

February 20, 2012 - July 31, 2012

REVERE SECURITIES LLC

BD
CRD#: 14178
NEW YORK, NY
Past

December 8, 2010 - April 25, 2011

WESTPARK CAPITAL, INC.

RIA
CRD#: 39914
BOCA RATON, FL
Past

May 6, 2010 - April 25, 2011

WESTPARK CAPITAL, INC.

BD
CRD#: 39914
BOCA RATON, FL
Past

November 3, 2009 - May 6, 2010

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
BOCA RATON, FL
Past

October 21, 2008 - September 1, 2009

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
BOCA RATON, FL
Past

March 27, 2008 - October 31, 2008

SANDERS MORRIS LLC

BD
CRD#: 20580
BOCA RATON, FL
Past

November 23, 2007 - May 8, 2008

DAWSON JAMES SECURITIES, INC.

BD
CRD#: 130645
BOCA RATON, FL
Past

January 17, 2007 - December 21, 2007

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

May 11, 2006 - February 1, 2007

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
BOCA RATON, FL
Past

January 7, 2005 - May 12, 2006

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
FT. LAUDERDALE, FL
Past

January 8, 2002 - January 21, 2005

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

February 26, 1997 - January 14, 2002

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 21, 1994 - February 20, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

July 12, 1993 - October 31, 1994

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

January 10, 1991 - July 23, 1993

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

July 19, 1989 - January 7, 1991

JW GENESIS CLEARING CORP.

BD
CRD#: 6631
BOCA RATON, FL
Past

August 25, 1988 - May 20, 1989

INVESTMENT CORPORATION OF VIRGINIA

BD
CRD#: 2314

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: 7/22/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/22/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/1988
General Securities Representative Examination

Current Firm

RS
REVERE SECURITIES LLC
ASR DIVISION OF TRACK SECURITIES CORP | TRACK SECURITIES CORP. | REVERE WEALTH MANAGEMENT LLC | REVERE SECURITIES LLC | REVERE SECURITIES CORP. | M-W SECURITIES CORP. | BRIARCLIFF CAPITAL CORP.

CRD#: 14178 / SEC#: , 8-30511

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
560 Lexington Avenue 16th Floor, New York, NY 10022
Mailing Address
560 Lexington Avenue 16th Floor, New York, NY 10022
Phone number
(212) 688-2350
Established
Delaware since 12/31/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

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 / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
REVERE INVESTMENT HOLDINGS LLCSHAREHOLDER
BODKIN, GREGORY PATRICKCHIEF COMPLIANCE OFFICER3008389
FULLMAN, SCOTT HOWARDPRESIDENT / CHIEF OPERATIONS OFFICER1516584
MORENO, WILLIAM FRANCISCEO / EXECUTIVE CHAIRMAN2801621
ZULUAGA, OSEASCFO / FINOP4186791

Disclosures

Regulatory Event14
Arbitration3

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

REVERE SECURITIES LLC

CRD#: 14178

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