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Christian W. Ruppenstein

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CRD#: 2468275
CR

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.

Christian William Ruppenstein was a registered financial professional .

Christian is a previously registered financial professional and started their career in finance in 1994. Christian had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 5, 2015 - May 16, 2016

SEI INVESTMENTS DISTRIBUTION CO.

BD
CRD#: 10690
New York, NY
Past

July 22, 2013 - October 7, 2014

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
NEW YORK, NY
Past

January 17, 1997 - January 17, 2012

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY
Past

June 30, 1994 - January 15, 1997

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/3/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/16/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/29/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/29/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/16/1995
Registered Options Principal Examination

Current Firm

SI
SEI INVESTMENTS DISTRIBUTION CO.
SEI FINANCIAL SERVICES COMPANY | SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690 / SEC#: , 8-27897

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
One Freedom Valley Drive, Oaks, PA 19456
Mailing Address
One Freedom Valley Drive, Oaks, PA 19456
Phone number
(610) 676-1000
Established
Pennsylvania since 07/20/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SEI INVESTMENTS COMPANYSHAREHOLDER
CAMPISI, JENNIFER HICKMANCHIEF COMPLIANCE OFFICER, ASST SECRETARY5299753
COARY, JOHN PATRICKTREASURER, CFO2551648
CORKERY, HEATHER MAJCZANDIRECTOR6896886
GARCIA, GABRIELDIRECTOR2500963
HUM, ROBERT MDIRECTOR, PRESIDENT, CEO5716140
MCGHIN, JASON MICHAELCOO3119188
MUNCH, JOHN CHARLESSECRETARY, GENERAL COUNSEL4739576

Disclosures

Regulatory Event4

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.

Company Information

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

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