Ruth T. Nelkin
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.
Ruth Thalheimer Nelkin, who also goes by Ruth Nelkin, Ruth Thalheimer, was a registered financial professional .
Ruth is a previously registered financial professional and started their career in finance in 1971. Ruth had worked at 6 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2009 - March 4, 2015
NELKIN CAPITAL MANAGEMENT, INC.
July 1, 2003 - October 8, 2009
WELLS FARGO CLEARING SERVICES, LLC
September 8, 1982 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 30, 1971 - November 22, 1982
BRUNS, NORDEMAN, REA & CO.
April 20, 1971 - January 10, 1972
L. F. ROTHSCHILD & CO. INCORPORATED
February 1, 1971 - May 5, 1971
J.P. MORGAN SECURITIES 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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 10/23/1959
Registered Representative ExaminationCurrent Firm
NELKIN CAPITAL MANAGEMENT, INC.
CRD#: 19779 / SEC#: , 8-37787
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NELKIN, HAROLD | PRESIDENT,CEO, CHIEF COMPLIANCE OFFICER, FINOP | 345853 |
Disclosures
| Regulatory 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.
