Todd U. Ruddle
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.
Todd Urban Ruddle, who also goes by Todd Anthony Ruddle, Todd Urban Stemmler, was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1988. Todd had worked at 9 firms and has passed the Series 63, 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
January 22, 2013 - March 7, 2013
GIRARD SECURITIES, INC.
January 10, 2011 - August 4, 2011
GROVE POINT INVESTMENTS, LLC
January 11, 2005 - November 10, 2010
TRANSAMERICA CAPITAL, LLC
June 14, 2001 - January 24, 2005
PACIFIC SELECT DISTRIBUTORS, LLC
June 5, 1998 - June 28, 2001
FEDERATED SECURITIES CORP.
October 23, 1997 - June 12, 1998
ESSEX NATIONAL SECURITIES, LLC
July 25, 1995 - September 15, 1997
GLENFED BROKERAGE SERVICES
September 12, 1994 - July 7, 1995
MARKETING ONE SECURITIES, INC.
December 14, 1988 - September 6, 1994
PRINCIPAL SECURITIES, 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
GIRARD SECURITIES, INC.
CRD#: 18697 / SEC#: 801-61470, 8-36920
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARGERS ACQUISITION LLC | SHAREHOLDER | |
| BALLARD, JAMES DAVID | VP | 1714327 |
| BARRAGAN, JOHN ARTHUR III | PRESIDENT/COO | 2941942 |
| GRAHAM, LUANNE MARIE | ADVISORY CCO | 2310126 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBSEN, BRYAN K | B-D CCO, SECRETARY | 3055957 |
| KLICMAN, SHIRLEY ANNE | VP | 1771713 |
| OLSON, GREGORY ALAN | ASST. SECRETARY | 2692482 |
| ROGERS, JASON DYLAN | SENIOR EXECUTIVE VP | 2641674 |
| SHERROD, TRACI LYNN | AVP | 4321192 |
| SMILEY, STANLEY ROBERT | VP | 3004604 |
| TIETJEN, MARGARET SUSAN | CHIEF EXECUTIVE OFFICER/ DIRECTOR | 1294862 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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