Richard J. Fruth
Professional summary
Richard John Fruth, who also goes by Dick Fruth, is a registered financial advisor currently at FRUTH INVESTMENT MANAGEMENT located in Houston, Texas.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1971. Richard has worked at 5 firms and has passed the Series 63, Series 15, Series 5, PC, Series 1, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard John Fruth's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 15, 1992 - Present
FRUTH INVESTMENT MANAGEMENT
Office #1: 820 Gessner #1640, Houston, TX 77024September 21, 1990 - May 20, 1992
UBS FINANCIAL SERVICES INC.
July 19, 1989 - September 28, 1990
ROTAN MOSLE INC.
April 3, 1986 - July 24, 1989
UBS FINANCIAL SERVICES INC.
September 7, 1977 - April 28, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
February 2, 1971 - October 2, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
FRUTH INVESTMENT MANAGEMENT
CRD#: 107273 / SEC#: 801-40948
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/15/1992)
Exams
Series 15
Date: 5/22/1984
Foreign Currency Options ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationPC
Date: 8/8/1978
AMEX Put and Call ExamSeries 1
Date: 1/29/1971
Registered Representative ExaminationSeries 12
Date: 6/15/1979
NYSE Branch Manager ExaminationCurrent Firm
FRUTH INVESTMENT MANAGEMENT
CRD#: 107273 / SEC#: 801-40948
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 434 |
| AUM (Assets Under Management) | $ 404,508,318 |
Red Flags
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