John R. Rutherford
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.
John Richard Rutherford, who also goes by John Rutherford, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 5 firms and has passed the Series 63, Series 7, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2019 - December 18, 2019
NRI ENERGY SECURITIES LLC
January 8, 2008 - October 11, 2010
LAZARD FRERES & CO. LLC
August 5, 1997 - December 19, 2007
SIMMONS & COMPANY INTERNATIONAL
December 6, 1993 - July 17, 1997
LEHMAN BROTHERS INC.
April 22, 1993 - July 29, 1993
DRESDNER KLEINWORT WASSERSTEIN, LLC
State Registrations and Notice Filings
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Exams
Current Firm
NRI ENERGY SECURITIES LLC
CRD#: 293244 / SEC#: , 8-70096
Contact information
Documents
Red Flags
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