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Robert Rutschow
WELLS FARGO SECURITIES
New York, NY 10017
Some features on this profile are disabled
CRD#: 2902334
RR
Professional summary
Robert Rutschow, who also goes by Robert Carr Rutschow, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in New York, New York.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1998. Robert has worked at 6 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Robert Carr Rutschow
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 Robert Rutschow'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
July 5, 2017 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 150 East 42nd Street, New York, NY 10017BD
CRD#: 126292
New York, NY
Past
March 5, 2013 - March 6, 2017
CLSA AMERICAS, LLC
BD
CRD#: 165533
NEW YORK, NY
Past
April 16, 2009 - June 10, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
BD
CRD#: 190
NEW YORK, NY
Past
March 29, 2007 - April 14, 2009
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
March 29, 2001 - March 22, 2007
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
February 25, 1998 - November 9, 2000
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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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
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Alabama(7/5/2017)
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Alaska(7/5/2017)
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Arizona(7/5/2017)
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Arkansas(7/5/2017)
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California(7/5/2017)
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Colorado(7/5/2017)
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Connecticut(7/5/2017)
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Delaware(7/5/2017)
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District of Columbia(7/5/2017)
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Florida(7/5/2017)
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Georgia(7/5/2017)
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Hawaii(7/5/2017)
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Idaho(7/5/2017)
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Illinois(7/5/2017)
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Indiana(7/5/2017)
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Iowa(7/5/2017)
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Kansas(7/5/2017)
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Kentucky(7/5/2017)
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Louisiana(7/5/2017)
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Maine(7/5/2017)
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Maryland(7/5/2017)
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Massachusetts(7/5/2017)
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Michigan(7/5/2017)
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Minnesota(7/5/2017)
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Mississippi(7/5/2017)
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Missouri(7/5/2017)
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Montana(7/5/2017)
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Nebraska(7/5/2017)
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Nevada(7/5/2017)
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New Hampshire(7/5/2017)
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New Jersey(7/5/2017)
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New Mexico(7/5/2017)
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New York(7/5/2017)
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North Carolina(7/6/2017)
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North Dakota(7/5/2017)
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Ohio(7/5/2017)
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Oklahoma(7/5/2017)
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Oregon(7/5/2017)
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Pennsylvania(7/5/2017)
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Puerto Rico(7/5/2017)
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Rhode Island(7/5/2017)
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South Carolina(7/5/2017)
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South Dakota(7/5/2017)
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Tennessee(7/5/2017)
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Texas(7/5/2017)
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Utah(7/5/2017)
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Vermont(7/5/2017)
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Virgin Islands(7/5/2017)
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Virginia(7/5/2017)
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Washington(7/5/2017)
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West Virginia(7/5/2017)
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Wisconsin(7/5/2017)
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Wyoming(7/5/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
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BOX Exchange LLC
SRO Registrations
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Cboe BYX Exchange, Inc.
SRO Registrations
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Cboe BZX Exchange, Inc.
SRO Registrations
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Cboe C2 Exchange, Inc.
SRO Registrations
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Cboe EDGA Exchange, Inc.
SRO Registrations
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Cboe EDGX Exchange, Inc.
SRO Registrations
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Cboe Exchange, Inc.
SRO Registrations
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FINRA
SRO Registrations
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Investors' Exchange LLC
SRO Registrations
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Long-Term Stock Exchange, Inc.
SRO Registrations
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MEMX LLC
SRO Registrations
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MIAX Emerald, LLC
SRO Registrations
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MIAX PEARL, LLC
SRO Registrations
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MIAX Sapphire
SRO Registrations
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Miami International Securities Exchange, LLC
SRO Registrations
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NYSE American LLC
SRO Registrations
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NYSE Arca, Inc.
SRO Registrations
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NYSE National, Inc.
SRO Registrations
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NYSE Texas, Inc.
SRO Registrations
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Nasdaq BX, Inc.
SRO Registrations
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Nasdaq GEMX, LLC
SRO Registrations
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Nasdaq ISE, LLC
SRO Registrations
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Nasdaq MRX, LLC
SRO Registrations
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Nasdaq PHLX LLC
SRO Registrations
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Nasdaq Stock Market
SRO Registrations
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New York Stock Exchange
Current Firm
WF
WELLS FARGO SECURITIES, LLC
WACHOVIA CAPITAL MARKETS, LLC | WELLS FARGO SECURITIES, LLC | WELLS FARGO SECURITIES | WELLS FARGO CORPORATE AND/& INVESTMENT BANKING | WACHOVIA CORPORATE & INVESTMENT BANKING, LLC
CRD#: 126292 / SEC#: , 8-65876
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
550 South Tryon Street 6th Floor D1086-060, Charlotte, NC, 28202
Mailing Address
1 N Jefferson Ave H0004-063, St. Louis, MO 63103
Phone number
(314) 875-3286
Established
Delaware since 03/05/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 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.
