JR
Joseph B. Ruby
LANTERN WEALTH ADVISORS
San Francisco, CA 94111
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CRD#: 4009139
JR
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 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Frank A. Campini Foundation, 2930 Domingo Ave #1223, Berkeley CA 94705. Not investment related. I serve as President and Director of this charitable non-profit corporation. I receive compensation on an annual basis. I devote approximately 4 hours per week to this business, occasionally during securities trading hours. The primary activity of this Foundation is to provide grants to eligible non-profit organizations primarily based in the San Francisco Bay area. Lantern Wealth Advisors, LLC. Registered investment advisor representative. Investment Related. As of 04/2022. Located at 111 Pine St. San Francisco CA 94111. Approximately 10 hours per month during securities trading hours. Provide investment advisory solutions to wealth management clients. Pflueger & Baerwald. Non-investment related. Former President filed a BDW. 2930 Domingo Ave #1223, Berkeley CA 94705. Approximately 5 hours per month, occasionally during security trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Benjamin Ruby'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
April 1, 2022 - Present
LANTERN WEALTH ADVISORS, LLC
Office #1: 111 Pine Street Ste 1215, San Francisco, CA 94111RIA
CRD#: 147420
San Francisco, CA
Current
April 1, 2022 - Present
HEROLD & LANTERN INVESTMENTS, INC.
Office #1: 111 Pine Street Ste 1215, San Francisco, CA 94111BD
CRD#: 30996
San Francisco, CA
Past
February 20, 2002 - March 31, 2022
PFLUEGER & BAERWALD INC.
BD
CRD#: 3023
SAN FRANCISCO, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LW
LANTERN WEALTH ADVISORS, LLC
LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC
CRD#: 147420 / SEC#: 801-79035
RIA
Registered Investment Advisory firm - (1/15/2014 Approved)California
Registered Investment Advisory firm - (2/16/2014 Terminated)New Jersey
Registered Investment Advisory firm - (2/10/2014 Terminated)New York
Registered Investment Advisory firm - (1/17/2014 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Alaska(4/1/2022)
RR
California(4/1/2022)
IAR
California(4/1/2022)
RR
Colorado(4/1/2022)
RR
Florida(4/1/2022)
RR
Georgia(4/1/2022)
RR
Hawaii(4/1/2022)
RR
Illinois(4/1/2022)
RR
Indiana(4/1/2022)
RR
Iowa(4/1/2022)
RR
Massachusetts(4/1/2022)
RR
Michigan(4/1/2022)
RR
Missouri(4/1/2022)
RR
Nevada(4/1/2022)
RR
New Jersey(4/1/2022)
RR
New York(4/1/2022)
RR
North Carolina(4/1/2022)
RR
Ohio(4/1/2022)
RR
Oregon(4/1/2022)
RR
Pennsylvania(4/1/2022)
RR
South Carolina(12/20/2023)
RR
Texas(4/1/2022)
RR
Utah(4/1/2022)
RR
Virginia(4/1/2022)
RR
Washington(4/1/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/15/2003
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LW
LANTERN WEALTH ADVISORS, LLC
LANTERN ADVISERS LLC | LANTERN WEALTH ADVISORS, LLC
CRD#: 147420 / SEC#: 801-79035
RIA
Registered Investment Advisory firm - (1/15/2014 Approved)California
Registered Investment Advisory firm - (2/16/2014 Terminated)New Jersey
Registered Investment Advisory firm - (2/10/2014 Terminated)New York
Registered Investment Advisory firm - (1/17/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
35 Pinelawn Road Suite 101e, Melville, NY 11747
Mailing Address
Phone number
(631) 454-2000
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 379 |
| AUM (Assets Under Management) | $ 265,466,991 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
