Andrew W. Rucks
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.
Andrew Walter Rucks was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1989. Andrew had worked at 8 firms and has passed the Series 63, Series 55, Series 7, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 1999 - January 13, 2000
PROTRADER SECURITIES L.P.
December 23, 1998 - May 19, 1999
NEXA SECURITIES
April 1, 1998 - December 11, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 1997 - April 1, 1998
BARNETT INVESTMENTS, INC.
March 17, 1993 - November 22, 1996
AMERIPRISE ADVISOR SERVICES, INC.
November 21, 1991 - February 4, 1993
W.J. NOLAN & COMPANY, INC.
March 12, 1990 - November 15, 1991
DAVID LERNER ASSOCIATES, INC.
November 1, 1989 - May 25, 1990
BNY MELLON SECURITIES CORPORATION
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
Series 55
Date: 7/21/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 7/26/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PROTRADER SECURITIES L.P.
CRD#: 35233 / SEC#: , 8-46785
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTINET GLOBAL HOLDINGS INC. | SHAREHOLDER | |
| BALDERACH, STEFAN SHANE | SENIOR REGISTERED OPTIONS PRINCIPAL AND CHIEF COMPLIANCE OFFICER | 3102279 |
| CHRISTIE, JOEL ALAN | MUNICIPAL PRINCIPAL | 2740765 |
| HICKS, KIMBERLY ANN | CHIEF EXECUTIVE OFFICER | 3004984 |
| HOWARD, CRAIG STEWART | PRESIDENT, ADVERTISING PRINCIPAL AND CHIEF SUPERVISORY OFFICER | 1627266 |
| PIERCE, THOMAS WALKER | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 2888289 |
| WILSON, CHRISTOPHER THOMAS | DIRECTOR OF CLIENT/TRADER DEVELOPMENT | 2208379 |
| YEAGER, DAVID SCOTT | FINANCIAL AND OPERATIONS PRINCIPAL | 4146568 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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