William J. Ruane
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.
William John Ruane, who also goes by William J Ruane, was a registered financial advisor .
William is a previously registered financial advisor and started their career in finance in 1970. William had worked at 3 firms and has passed the Series 65, Series 63, Series 41 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2002 - March 8, 2006
RUANE, CUNNIFF & CO., INC.
April 23, 1995 - October 6, 2005
RUANE, CUNNIFF & GOLDFARB LLC
June 4, 1976 - January 29, 2004
RUANE, CUNNIFF & CO., INC.
February 18, 1970 - June 4, 1976
RUANE CUNNIFF & STIRES 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
Series 41
Date: 1/14/1969
NYSE Allied Member ExaminationSeries 40
Date: 12/16/1968
Registered Principal ExaminationCurrent Firm
RUANE, CUNNIFF & CO., INC.
CRD#: 3994 / SEC#: 801-5678
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUANE, CUNNIFF & CO., INC. | PARENT | 3994 |
| AMATURO, JOSEPH CARMINE | DIRECTOR | 1367477 |
| BERKERY, JAMES FRANCIS | VICE PRESIDENT | 19454 |
| CLARK, HARRISON C | DIRECTOR | 1475650 |
| CUNNIFF, RICHARD TROLAN | DIRECTOR, VICE CHAIRMAN | 58712 |
| GOLDFARB, ROBERT DAVID | DIRECTOR, PRESIDENT | 224217 |
| QUINONES, JOSEPH JR | VICE PRESIDENT, SECRETARY & TREASURER | 1752398 |
| RUANE, WILLIAM JOHN | DIRECTOR, CHAIRMAN | 406402 |
Disclosures
| Regulatory Event | 3 |
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.
