Brian W. Ruttenbur
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.
Brian William Ruttenbur was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1997. Brian had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2021 - June 29, 2023
IMPERIAL CAPITAL, LLC
October 3, 2016 - January 26, 2021
DREXEL HAMILTON, LLC
June 19, 2015 - October 12, 2016
BB&T SECURITIES, LLC
April 16, 2012 - June 15, 2015
CRT CAPITAL GROUP LLC
June 14, 2000 - April 16, 2012
MORGAN KEEGAN & COMPANY, LLC
May 5, 1997 - April 28, 2000
TRUIST SECURITIES, 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
Series 79TO
Date: 11/5/2018
Investment Banking Registered Representative ExaminationCurrent Firm
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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