Michael S. Rister
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.
Michael Scott Rister, who also goes by M. Scott Rister, Michael Scott Rister, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2000. Michael had worked at 2 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
February 26, 2019 - October 15, 2021
BUDROS, RUHLIN & ROE
November 2, 2000 - January 16, 2019
CHARLES SCHWAB & CO., 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
BUDROS, RUHLIN & ROE
CRD#: 106536 / SEC#: 801-32884
Contact information
Regulatory assets under management
| Total Number of Accounts | 7,536 |
| AUM (Assets Under Management) | $ 3,399,072,487 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/03/2022 | ||
| 01/28/2022 |
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.
