David A. Ruckman
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.
David Arthur Ruckman was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1972. David had worked at 4 firms and has passed the Series 65, Series 15, Series 5, PC, Series 1, Series 12, 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
September 29, 2005 - May 7, 2012
SF INVESTMENTS, INC.
September 23, 2005 - March 9, 2023
VAN CLEEF ASSET MANAGEMENT INC
September 26, 1978 - September 28, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 14, 1972 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 15
Date: 8/7/1987
Foreign Currency Options ExaminationSeries 5
Date: 7/31/1987
Interest Rate Options ExaminationPC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 7/12/1972
Registered Representative ExaminationSeries 12
Date: 6/5/1981
NYSE Branch Manager ExaminationSeries 40
Date: 7/14/1978
Registered Principal ExaminationCurrent Firm
SF INVESTMENTS, INC.
CRD#: 6564 / SEC#: 801-66533, 8-34069
Contact information
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIEL SHAPIRO GIFT TRUST | SHAREHOLDER - TRUSTEE IS A CONTOL PERSON; NON -VOTING SHARES | |
| LESLEY SHAPIRO BEIDER GIFT TRUST | SHAREHOLDER - TRUSTEE IS NOT A CONTROL PERSON; NON-VOTING SHARES | |
| STEVEN SHAPIRO GIFT TRUST | SHAREHOLDER - TRUSTEE IS A CONTROL PERSON; NON-VOTING SHARES | |
| JUST, GARY ALAN | CHIEF FINANCIAL OFFICER/FINANCIAL AND OPERATIONS PRINCIPAL, CHIEF COMPLIANCE OFFICER | 2101902 |
| SHAPIRO BEIDER, LESLEY E | TRUSTEE LESLEY SHAPIRO BEIDER GIFT TRUST | |
| SHAPIRO, DANIEL MARK | CEO, TRUSTEE OF DANIEL SHAPIRO GIFT TRUST | 1989147 |
| SHAPIRO, STEVEN ARTHUR | VICE PRESIDENT/CHIEF INVESTMENT OFFICER, TRUSTEE STEVEN SHAPIRO GIFT TRUST | 2153746 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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