Ruth N. Komatsu
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.
Ruth Noriko Komatsu was a registered financial advisor .
Ruth is a previously registered financial advisor and started their career in finance in 1990. Ruth had worked at 4 firms and has passed the Series 63, Series 7, Series 6 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
November 15, 1995 - December 31, 2003
RUTH KOMATSU FINANCIAL
July 13, 1993 - December 31, 2003
COMMONWEALTH FINANCIAL NETWORK
August 8, 1991 - July 14, 1993
MARINER FINANCIAL SERVICES, INC.
July 23, 1990 - August 20, 1991
MONEY CONCEPTS CAPITAL CORP
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
Red Flags
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