Frank J. Ruffing
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.
Frank Jacob Ruffing, CFP® was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1997. Frank had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 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
Start date: 2004
Experience
November 9, 2016 - January 2, 2020
TRUIST ADVISORY SERVICES, INC.
January 27, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
January 27, 2015 - January 2, 2020
TRUIST INVESTMENT SERVICES, INC.
January 9, 2013 - January 21, 2015
PNC WEALTH MANAGEMENT LLC
January 9, 2013 - January 21, 2015
PNC WEALTH MANAGEMENT LLC
February 1, 2008 - January 7, 2013
CAPITOL SECURITIES MANAGEMENT, INC.
February 1, 2008 - January 7, 2013
CAPITOL SECURITIES MANAGEMENT, INC.
July 20, 2007 - November 13, 2007
TD WEALTH MANAGEMENT SERVICES INC.
July 20, 2007 - November 13, 2007
TD WEALTH MANAGEMENT SERVICES INC.
March 25, 2002 - July 24, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 22, 2002 - July 24, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 3, 1997 - March 26, 2002
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
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
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
