Ruis R. Figueiredo
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.
Ruis Reis Figueiredo, who also goes by Rui Reis Figueiredo, was a registered financial professional .
Ruis is a previously registered financial professional and started their career in finance in 1993. Ruis had worked at 4 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 1996 - September 28, 2000
ROYAL HUTTON SECURITIES CORP.
July 14, 1995 - October 15, 1996
TOLUCA PACIFIC SECURITIES CORP.
April 24, 1995 - June 16, 1995
CRESSIDA CAPITAL, INC
January 4, 1993 - July 11, 1995
HANOVER, STERLING & COMPANY LTD.
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 62
Date: 12/24/1992
Corporate Securities Limited Representative ExaminationCurrent Firm
ROYAL HUTTON SECURITIES CORP.
CRD#: 14489 / SEC#: , 8-30742
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 9 |
| Bond | 1 |
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.
