Ruth L. Adame
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 Lorraine Adame, who also goes by Ruth Lorraine Acosta Ms, Ruth Lorraine Adame Mrs, Ruth Adame, Ruth Lorraine Vega, was a registered financial professional .
Ruth is a previously registered financial professional and started their career in finance in 1992. Ruth had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2017 - April 4, 2018
WESCOM FINANCIAL SERVICES
April 28, 2016 - November 1, 2016
WESCOM FINANCIAL SERVICES
October 17, 2013 - August 27, 2015
GLP INVESTMENT SERVICES, LLC
July 17, 2012 - March 19, 2013
BANCWEST INVESTMENT SERVICES, INC.
March 27, 2012 - June 15, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2009 - February 16, 2012
BANCWEST INVESTMENT SERVICES, INC.
May 2, 2009 - October 6, 2009
CHASE INVESTMENT SERVICES CORP.
February 11, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
August 15, 2007 - February 1, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
March 23, 2005 - August 6, 2007
LPL FINANCIAL LLC
December 15, 2000 - April 14, 2003
WAMU INVESTMENTS, INC.
March 17, 1998 - April 6, 1999
BA INVESTMENT SERVICES, INC.
August 3, 1993 - March 9, 1998
FIMCO SECURITIES GROUP, INC.
October 13, 1992 - May 6, 1993
METROPOLITAN LIFE INSURANCE COMPANY
October 13, 1992 - May 6, 1993
MSI FINANCIAL SERVICES, 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
WESCOM FINANCIAL SERVICES
CRD#: 125650 / SEC#: 801-113359, 8-66189
Contact information
FINRA licenses (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,138 |
| AUM (Assets Under Management) | $ 226,085,019 |
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.
