William J. Ruh
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.
William John Ruh was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1996. William had worked at 3 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 99TO, SIE, Series 7 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
March 26, 2020 - January 21, 2022
TRIPLE A PARTNERS LLC
November 4, 2016 - March 27, 2018
ROTH CAPITAL PARTNERS, LLC
January 31, 1996 - December 18, 2014
CASTLE CREEK FINANCIAL LLC
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 7TO
Date: 3/28/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/28/2024
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 3/28/2024
Operations Professional ExaminationCurrent Firm
TRIPLE A PARTNERS LLC
CRD#: 142790 / SEC#: , 8-67485
Contact information
FINRA licenses (2 States and Territories)
Documents
Red Flags
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