Keith P. Ruffler
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.
Keith Patrick Ruffler, who also goes by Keith P Ruffler, was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1993. Keith had worked at 7 firms and has passed the Series 63 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
October 31, 1996 - April 8, 1997
CAPITAL PLANNING ASSOCIATES, INC.
January 29, 1996 - August 28, 1996
CRESSIDA CAPITAL, INC
June 12, 1995 - May 30, 1996
THE HERITAGE GROUP, INC.
February 23, 1995 - May 3, 1995
HANOVER, STERLING & COMPANY LTD.
January 10, 1995 - February 13, 1995
DICKINSON & CO.
November 15, 1994 - April 25, 1995
ROBERT TODD FINANCIAL CORP.
January 21, 1994 - November 15, 1994
HANOVER, STERLING & COMPANY LTD.
September 20, 1993 - October 7, 1993
BERKELEY SECURITIES CORPORATION
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
CAPITAL PLANNING ASSOCIATES, INC.
CRD#: 15107 / SEC#: , 8-31684
Contact information
Documents
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.
