Rubian Foglia
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.
Rubian Foglia, who also goes by Rubian Saunders Foglia, Rubian Santiago Foglia, Rubian Santiago Saunders, Ruby Ann Saunders, Rubyann Saunders, R S Saundersfoglia, was a registered financial professional .
Rubian is a previously registered financial professional and started their career in finance in 1993. Rubian had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
April 23, 2014 - July 7, 2014
ALLIED MILLENNIAL PARTNERS, LLC
May 23, 2008 - April 30, 2012
OSAIC WEALTH, INC.
October 12, 2004 - November 16, 2007
QUEST CAPITAL STRATEGIES, INC.
June 15, 2001 - October 21, 2002
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
May 1, 2001 - June 15, 2001
J.P. MORGAN SECURITIES INC.
December 19, 2000 - May 1, 2001
JPMSI
December 15, 1999 - November 2, 2000
WMA SECURITIES, INC.
February 27, 1997 - March 5, 1998
CITICORP INVESTMENT SERVICES
June 4, 1996 - November 7, 1996
FIRST CAMBRIDGE SECURITIES CORPORATION
October 7, 1994 - June 5, 1996
SOUTH GROUP INVESTMENT SERVICES, INC.
July 22, 1993 - January 10, 1994
CHASE INVESTMENT SERVICES CORP.
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
ALLIED MILLENNIAL PARTNERS, LLC
CRD#: 16569 / SEC#: , 8-34176
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 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.
