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JR

John W. Ruggles

Some features on this profile are disabled
CRD#: 2105539
JR

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 Walter Ruggles was a registered financial advisor .

John is a previously registered financial advisor and started their career in finance in 1993. John had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 23 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 15, 2014 - April 15, 2015

CITY SECURITIES CORPORATION

RIA
CRD#: 1459
INDIANAPOLIS, IN
Past

May 9, 2014 - April 15, 2015

CITY SECURITIES CORPORATION

BD
CRD#: 1459
INDIANAPOLIS, IN
Past

September 29, 2006 - April 29, 2013

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
INDIANAPOLIS, IN
Past

September 29, 2006 - April 29, 2013

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
INDIANAPOLIS, IN
Past

June 10, 2005 - March 29, 2006

EDWARD JONES

RIA
CRD#: 250
AVON, IN
Past

June 10, 2005 - March 29, 2006

EDWARD JONES

BD
CRD#: 250
AVON, IN
Past

December 19, 2000 - June 13, 2005

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
FISHERS, IN
Past

April 4, 1997 - June 13, 2005

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

January 17, 1997 - March 12, 1997

INDEPENDENT FINANCIAL SECURITIES, INC.

BD
CRD#: 19924
Past

July 14, 1995 - March 3, 1997

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
CLEVELAND, OH
Past

July 28, 1993 - July 14, 1995

RAFFENSPERGER, HUGHES & CO., INC.

BD
CRD#: 699
INDIANAPOLIS, IN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/2/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/17/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/15/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/27/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 23
Date: 8/29/2014
General Securities Principal Sales Supervisor
Principal/Supervisory Exam
RR
Series 8
Date: 12/9/1997
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

CS
CITY SECURITIES CORPORATION
BURNETT JACOBSON FINANCIAL GROUP | TANNER WEALTH MANAGEMENT | STROUSE KELLER INCOME ADVISORS | SAGAMORE FINANCIAL GROUP | RAINES/DIETZ ADVISORY TEAM | PRATT INVESTMENT GROUP | PERRY RAINES GROUP | PATHWAY ADVISORY GROUP | MINAS SABAU PORTERFIELD GROUP | MAINSTAY WEALTH MANAGEMENT GROUP | LEGACY FINANCIAL GROUP | JACK PERRY WEALTH MANAGEMENT | ENDEAVOR INVESTMENT SOLUTIONS | CITY WEALTH ADVISORS | CITY SECURITIES CORPORATION

CRD#: 1459 / SEC#: 801-67527, 8-975

BD
Terminated by SEC on 09/18/2017
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
30 South Meridian Street Suite 600, Indianapolis, IN 46204-3573
Mailing Address
Phone number
Established
Indiana since 01/01/1925
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A - APPENDIX 1 - WRAP BROCHURE (12/19/2016)
ADV PART 2A - FIRM BROCHURE (12/19/2016)

Direct owners and executive officers

NamePositionCRD#
CITY SECURITIES, LLCHOLDING COMPANY
OLSEN, JOHN GERALDCCO1395283

Disclosures

Regulatory Event14

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.

Company Information

CITY SECURITIES CORPORATION

CRD#: 1459

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