Mark J. Ruderman
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.
Mark Jay Ruderman, who also goes by Mark J Ruderman, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1998. Mark had worked at 11 firms and has passed the Series 65, Series 63, 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
Experience
January 28, 2021 - January 22, 2022
RUDERMAN INVESTMENT MANAGEMENT
October 22, 2013 - May 12, 2014
LPL FINANCIAL LLC
October 15, 2013 - May 12, 2014
LPL FINANCIAL LLC
July 17, 2012 - December 31, 2020
RUDERMAN INVESTMENT MANAGEMENT
September 26, 2011 - December 20, 2011
STATE FARM VP MANAGEMENT CORP.
June 28, 2010 - November 3, 2010
CETERA WEALTH SERVICES, LLC
September 30, 2009 - June 30, 2010
LIBERTY GROUP, LLC
September 29, 2009 - June 30, 2010
LIBERTY GROUP, LLC
April 15, 2009 - October 1, 2009
WADDELL & REED
April 15, 2009 - October 1, 2009
WADDELL & REED
December 15, 2006 - March 17, 2009
CHARLES SCHWAB & CO., INC.
December 15, 2006 - March 17, 2009
CHARLES SCHWAB & CO., INC.
June 16, 2005 - November 24, 2006
CUSO FINANCIAL SERVICES, L.P.
June 16, 2005 - November 24, 2006
CUSO FINANCIAL SERVICES, L.P.
October 21, 2003 - June 3, 2005
PIPER SANDLER & CO.
October 21, 2003 - June 3, 2005
PIPER SANDLER & CO.
October 23, 2000 - August 22, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 14, 2000 - August 22, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 28, 1998 - June 14, 2000
BAYSIDE 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
Current Firm
RUDERMAN INVESTMENT MANAGEMENT
CRD#: 164693 / SEC#:
Contact information
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.
