Paul J. Ruby
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.
Paul Joseph Ruby was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1967. Paul had worked at 1 firm and has passed the Series 63, SIE, Series 1, Series 4 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
June 12, 1967 - June 6, 2019
PFLUEGER & BAERWALD INC.
State Registrations and Notice Filings
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Exams
Series 1
Date: 6/8/1967
Registered Representative ExaminationSeries 40
Date: 6/24/1976
Registered Principal ExaminationCurrent Firm
PFLUEGER & BAERWALD INC.
CRD#: 3023 / SEC#: , 8-17615
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOSEPH B RUBY SEPARATE PROPERTY TRUST UAD 8/7/2019 | OWNER - LIVING TRUST | |
| RUBY, JOSEPH BENJAMIN | TRUSTEE, PRESIDENT, SECRETARY, TREASURER, CCO | 4009139 |
Red Flags
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