Edward B. Ruotolo
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.
Edward Brian Ruotolo was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1997. Edward had worked at 11 firms and has passed the Series 63, 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
October 9, 2017 - December 7, 2017
WORLD INVESTMENTS, LLC
January 21, 2015 - February 3, 2017
MML INVESTORS SERVICES, LLC
February 24, 2009 - December 31, 2014
VOYA FINANCIAL ADVISORS, INC.
March 27, 2007 - March 20, 2009
NATIONAL SECURITIES CORPORATION
October 4, 2004 - September 25, 2006
ELECTRONIC ACCESS DIRECT, INC.
March 10, 2004 - November 18, 2004
SUNSTATE EQUITY TRADING
August 27, 2003 - March 9, 2004
PARKER FINANCIAL CORP.
September 26, 2002 - August 28, 2003
PAULSON INVESTMENT COMPANY LLC
December 21, 2001 - September 27, 2002
SCHNEIDER SECURITIES, INC.
October 5, 1998 - December 21, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
January 30, 1998 - September 25, 1998
NATIONAL SECURITIES CORPORATION
October 22, 1997 - February 3, 1998
BILTMORE SECURITIES, INC.
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
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 1 |
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.
