Patrick R. Ruhle
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.
Patrick Richard Ruhle was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1993. Patrick had worked at 3 firms and has passed the Series 63, Series 7, Series 62 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
January 29, 2001 - April 15, 2002
CONTINENTAL BROKER-DEALER CORP.
August 23, 2000 - January 3, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
May 26, 1999 - September 19, 2000
ARGUS SECURITIES, INC.
May 26, 1993 - March 19, 1999
CONTINENTAL BROKER-DEALER 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
Series 62
Date: 5/25/1993
Corporate Securities Limited Representative ExaminationCurrent Firm
CONTINENTAL BROKER-DEALER CORP.
CRD#: 14048 / SEC#: , 8-43159
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 15 |
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.
