Steven J. Ruffini
Professional summary
Steven Jon Ruffini is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1995. Steven has worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Jon Ruffini's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2023 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901June 21, 2021 - October 20, 2022
LEVEL FOUR FINANCIAL, LLC
July 17, 2020 - July 7, 2021
SECURITIES AMERICA, INC.
January 7, 2016 - July 17, 2020
INVESTACORP, INC.
December 7, 2011 - December 31, 2015
KESTRA INVESTMENT SERVICES, LLC
September 10, 2008 - October 31, 2011
THE LEADERS GROUP, INC.
February 18, 2008 - August 19, 2008
AMERICAN GENERAL EQUITY SERVICES CORPORATION
February 20, 2004 - April 17, 2006
FIDELITY BROKERAGE SERVICES LLC
January 1, 2002 - September 30, 2003
SIGNATOR INVESTORS, INC.
July 25, 2001 - January 1, 2002
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
January 25, 2000 - January 17, 2001
IDS LIFE INSURANCE COMPANY
January 25, 2000 - January 17, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
January 9, 1998 - October 29, 1999
GUARANTY BROKERAGE SERVICES, INC.
May 2, 1997 - January 2, 1998
CONSECO SECURITIES, INC.
July 30, 1996 - May 5, 1997
GUARANTY BROKERAGE SERVICES, INC.
November 10, 1995 - August 15, 1996
CAPITAL BROKERAGE 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
(1/3/2023)
(1/3/2023)
(1/3/2023)
(1/3/2023)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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