SR
Seth R. Ruthen
FORTRESS CAPITAL FORMATION LLC
New York, NY 10105
Some features on this profile are disabled
CRD#: 2651395
SR
Professional summary
Seth Randall Ruthen is a registered financial professional currently at FORTRESS CAPITAL FORMATION LLC located in New York, New York.
Seth is registered as a RR (Registered Representative) and started their career in finance in 1996. Seth has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 3 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.
CRS (Client Relationship Summary) - BD
Click below to view Seth Randall Ruthen's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 10, 2025 - Present
FORTRESS CAPITAL FORMATION LLC
Office #1: 1345 Avenue Of The Americas 45th Floor, New York, NY 10105BD
CRD#: 152385
New York, NY
Past
March 6, 2013 - October 28, 2022
APOLLO GLOBAL SECURITIES, LLC
BD
CRD#: 153502
NEW YORK, NY
Past
February 14, 2011 - February 1, 2013
PIMCO INVESTMENTS LLC
BD
CRD#: 154957
NEW YORK, NY
Past
February 9, 1996 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/10/2025)
RR
Alaska(2/19/2025)
RR
Arizona(2/18/2025)
RR
Arkansas(2/13/2025)
RR
California(2/10/2025)
RR
Colorado(2/11/2025)
RR
Connecticut(2/11/2025)
RR
Delaware(2/20/2025)
RR
District of Columbia(2/20/2025)
RR
Florida(2/11/2025)
RR
Georgia(2/11/2025)
RR
Hawaii(2/11/2025)
RR
Idaho(2/10/2025)
RR
Illinois(2/11/2025)
RR
Indiana(2/11/2025)
RR
Iowa(2/13/2025)
RR
Kansas(2/10/2025)
RR
Kentucky(2/10/2025)
RR
Louisiana(2/10/2025)
RR
Maine(2/11/2025)
RR
Maryland(2/10/2025)
RR
Massachusetts(2/10/2025)
RR
Michigan(2/12/2025)
RR
Minnesota(2/11/2025)
RR
Mississippi(2/12/2025)
RR
Missouri(2/10/2025)
RR
Montana(2/12/2025)
RR
Nebraska(2/10/2025)
RR
Nevada(2/11/2025)
RR
New Hampshire(2/11/2025)
RR
New Jersey(2/18/2025)
RR
New Mexico(2/12/2025)
RR
New York(2/10/2025)
RR
North Carolina(2/11/2025)
RR
North Dakota(2/18/2025)
RR
Ohio(2/12/2025)
RR
Oklahoma(2/11/2025)
RR
Oregon(2/12/2025)
RR
Pennsylvania(2/11/2025)
RR
Puerto Rico(2/21/2025)
RR
Rhode Island(2/11/2025)
RR
South Carolina(2/12/2025)
RR
South Dakota(2/10/2025)
RR
Tennessee(2/11/2025)
RR
Texas(2/12/2025)
RR
Utah(2/11/2025)
RR
Vermont(2/10/2025)
RR
Virgin Islands(2/11/2025)
RR
Virginia(2/10/2025)
RR
Washington(2/10/2025)
RR
West Virginia(2/21/2025)
RR
Wisconsin(2/11/2025)
RR
Wyoming(2/12/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FC
FORTRESS CAPITAL FORMATION LLC
FORTRESS CAPITAL FORMATION LLC | FORTRESS INVESTMENT GROUP LLC
CRD#: 152385 / SEC#: , 8-68449
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1345 Avenue Of The Americas 45th Floor, New York, NY, 10105
Mailing Address
1345 Avenue Of The Americas 45th Floor, New York, NY, 10105
Phone number
(212) 798-6100
Established
Delaware since 06/09/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
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.
