Perry G. Ruble
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.
Perry Gene Ruble was a registered financial professional .
Perry is a previously registered financial professional and started their career in finance in 1993. Perry had worked at 9 firms and has passed the Series 65, Series 63, 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 19, 2005 - September 27, 2006
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 26, 2004 - February 18, 2004
SYNERGY INVESTMENT GROUP, LLC
May 10, 2000 - October 15, 2002
CETERA INVESTMENT SERVICES LLC
June 10, 1999 - May 10, 2000
GUARANTY BROKERAGE SERVICES, INC.
March 12, 1997 - June 8, 1999
IFMG SECURITIES, INC.
January 23, 1995 - February 28, 1997
CITY SECURITIES CORPORATION
November 9, 1993 - October 7, 1994
RAFFENSPERGER, HUGHES & CO., INC.
August 20, 1993 - October 21, 1993
CAPITAL SELECT INVESTMENTS CORP.
February 18, 1993 - April 12, 1993
OSAIC FA, 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
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, INC.
CRD#: 3600 / SEC#: , 8-13621
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA INTERNATIONAL HOLDINGS, INC. | OWNER | |
| CHUANG, GEORGE CHUWANG | PRESIDENT, DIRECTOR | 3162477 |
| CHUANG, GEORGE CHUWANG | SENIOR VICE PRESIDENT & TREASURER | 3162477 |
| FLEWELLEN, JAMES MARTIN | DIRECTOR | 1574411 |
| GOK, LISA ANNE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 5059738 |
| KILBANE, KENNETH PATRICK | DIRECTOR | 3187382 |
| PERRY, KAREN BARNETT | VICE PRESIDENT | 3035933 |
| RIDER, KERRY KEARNS | SECRETARY | 2166195 |
| TATE, WILLIAM HARTWELL | DIRECTOR | 1761315 |
| TRIVERS, DAN SHANE | SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER | 1948553 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
