Clark D. Ruiz
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.
Clark Donald Ruiz II was a registered financial professional .
Clark is a previously registered financial professional and started their career in finance in 1992. Clark had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2011 - January 15, 2015
WINTOUR & COMPANY, INC.
February 26, 2009 - October 5, 2010
LAMPERT CAPITAL MARKETS INC.
July 10, 2001 - March 20, 2003
BARINGTON CAPITAL GROUP, L.P.
November 2, 1995 - July 10, 2001
THE THORNWATER COMPANY, L.P.
April 26, 1995 - October 26, 1995
JWGENESIS SECURITIES, INC.
October 6, 1994 - April 21, 1995
RICKEL & ASSOCIATES, INC.
March 23, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
July 14, 1992 - March 23, 1994
BARINGTON CAPITAL GROUP, L.P.
April 6, 1992 - July 14, 1992
STRATTON OAKMONT 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
WINTOUR & COMPANY, INC.
CRD#: 155448 / SEC#: , 8-68719
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE WINTOUR GROUP CORP. | SHAREHOLDER | |
| WINTOUR, CHRISTIAN RONALD | CEO, CCO, CFO & FINOP | 5439185 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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