Javier Ruedas
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.
Javier Ruedas, who also goes by Javier F Ruedas, Javier Fernando Ruedas, was a registered financial professional .
Javier is a previously registered financial professional and started their career in finance in 1997. Javier had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2021 - February 25, 2022
VERITY ASSET MANAGEMENT
December 16, 2021 - February 25, 2022
VERITY INVESTMENTS, INC.
July 6, 2015 - December 31, 2019
CETERA INVESTMENT ADVISERS LLC
July 6, 2015 - December 31, 2019
CETERA INVESTMENT SERVICES LLC
April 17, 2015 - July 8, 2015
PFS INVESTMENTS INC.
April 16, 2012 - July 8, 2015
PFS INVESTMENTS INC.
January 23, 2008 - November 8, 2011
LPL FINANCIAL LLC
January 18, 2008 - November 8, 2011
LPL FINANCIAL LLC
March 14, 2006 - January 23, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 3, 2006 - January 23, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 3, 2004 - March 6, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 3, 2004 - March 6, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 14, 2004 - September 7, 2004
CITICORP INVESTMENT SERVICES
August 26, 2003 - September 7, 2004
CITICORP INVESTMENT SERVICES
July 21, 1999 - August 15, 2003
WAMU INVESTMENTS, INC.
August 12, 1997 - July 19, 1999
PRUCO SECURITIES, LLC.
April 22, 1997 - July 9, 1997
WMA SECURITIES, INC.
Primary Firm SEC Registration
VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
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
VERITY ASSET MANAGEMENT
CRD#: 158667 / SEC#: 801-66730
Contact information
SEC notice filing (35 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 7,199 |
| AUM (Assets Under Management) | $ 1,041,329,944 |
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.
