Joseph Benjamin Ruby
Professional Summary
Joseph Benjamin Ruby is a registered financial advisor currently at LANTERN WEALTH ADVISORS, LLC located in San Francisco, California and HEROLD & LANTERN INVESTMENTS, INC. located in San Francisco, California. Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Joseph has worked at 3 firms and has passed the Series 65, Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
24 years in the financial services industry
Current & Past Employments
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Current Firm
LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC
Contact Information
Main Address
35 Pinelawn Road Suite 101e, Melville, NY 11747Phone Number
(631) 454-2000# of Employees
26SEC notice filing (10 States and Territories)
Registered to provide investment advisory services in 10 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
398AUM (Assets Under Management)
$319,865,217Similar Advisors
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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.
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Primary Firm SEC Registration
LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC
State Registrations and Notice Filings
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Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jul 2003SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Joseph Benjamin Ruby's CRS (Customer Relationship Summary).
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