Steven P. Ruse
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.
Steven P Ruse, CFP® was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2005. Steven had worked at 5 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 28, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2007
Experience
July 29, 2015 - January 13, 2022
ALANTRA, LLC
March 17, 2015 - June 1, 2015
EQUITABLE ADVISORS, LLC
March 23, 2006 - August 13, 2008
ING PRIVATE WEALTH MANAGEMENT LLC
January 19, 2006 - February 9, 2009
ING PRIVATE WEALTH MANAGEMENT LLC
September 19, 2005 - January 30, 2006
ING FINANCIAL MARKETS LLC
July 6, 2005 - September 22, 2005
UBS 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 9/30/2015
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ALANTRA, LLC
CRD#: 22095 / SEC#: , 8-40465
Contact information
FINRA licenses (5 States and Territories)
Documents
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.
