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David Edward Rutter

CRD# 2207667·Registered 1992 - 2023
Previously Registered: Being a previously registered professional could mean that David 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.

Professional Summary

David Edward Rutter, who also goes by David Rutter, was a registered financial advisor. David was a previously registered financial professional and started their career in finance 1992 - 2023. David had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

David Rutter

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

26 years in the financial services industry

Current & Past Employments

LEDGEREDGE SECURITIES, INC.·CRD# 314644
BD
London
November 7, 2022 - September 28, 2023
LIQUIDITYEDGE, LLC·CRD# 174297
BD
New York,, NY
June 19, 2015 - November 4, 2019
BROKERTEC AMERICAS LLC·CRD# 47477
BD
Jersey City, NJ
May 19, 2004 - March 25, 2013
CHICAGO BOARD BROKERAGE, L.L.C.·CRD# 42818
BD
Chicago, IL
January 20, 1999 - June 11, 1999
PREBON SECURITIES (USA) INC.·CRD# 20431
BD
Jersey City, NJ
June 3, 1996 - January 23, 1998
PREBON FINANCIAL PRODUCTS INC.·CRD# 29551
BD
Jersey City, NJ
April 23, 1992 - May 13, 1994

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Current Firm

LS
LEDGEREDGE SECURITIES, INC.

LEDGEREDGE SECURITIES, INC.

CRD#: 314644 / SEC#: 8-70759
BD
Terminated by SEC on 10/02/2023

Contact Information

Established

Delaware since 06/02/2021

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
LEDGEREDGE INC.SHAREHOLDER—
CHICKEN, IAN BRETTCHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER7392772
ROCHE, PASCAL AFINOP, PFO, POO5920968
RUTTER, DAVID EDWARDMANAGING DIRECTOR2207667

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2015About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed Jan 2023About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 2004About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jan 2023About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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