Chris H. Rutland
Professional summary
Chris Hugh Rutland was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Chris is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Chris had worked at 8 firms, which includes NORTHEAST SECURITIES LLC, JARON EQUITIES CORP., ADVANTAGE CAPITAL CORPORATION, TOWER SQUARE SECURITIES INC., CITICORP INVESTMENT SERVICES, CITICORP FINANCIAL SERVICESINC., FINANCIAL HORIZONS SECURITIES CORPORATION, DAVID LERNER ASSOCIATES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 1997 - June 7, 2001
NORTHEAST SECURITIES, LLC
October 2, 1995 - February 11, 1997
JARON EQUITIES CORP.
May 17, 1995 - October 10, 1995
ADVANTAGE CAPITAL CORPORATION
August 15, 1994 - December 31, 1994
ADVANTAGE CAPITAL CORPORATION
May 12, 1994 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
June 1, 1992 - November 16, 1993
CITICORP INVESTMENT SERVICES
September 25, 1990 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
October 26, 1989 - October 3, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
December 20, 1988 - October 17, 1989
DAVID LERNER ASSOCIATES, INC.
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
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
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.
