James R. Ruffing
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.
James Robert Ruffing, who also goes by James R Ruffing, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1964. James had worked at 5 firms and has passed the Series 63, Series 5, Series 1, Series 24, Series 53 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
April 7, 1999 - May 4, 2012
GURUN INVESTMENT ADVISORS, INC.
September 3, 1987 - September 17, 1996
MORGAN STANLEY DW INC.
May 1, 1987 - August 22, 1987
DB ALEX. BROWN LLC
February 26, 1969 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
October 13, 1964 - August 6, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 5
Date: 11/18/1981
Interest Rate Options ExaminationSeries 1
Date: 10/1/1964
Registered Representative ExaminationSeries 40
Date: 2/17/1969
Registered Principal ExaminationCurrent Firm
GURUN INVESTMENT ADVISORS, INC.
CRD#: 37503 / SEC#: 801-60828, 8-47836
Contact information
Regulatory assets under management
| Total Number of Accounts | 409 |
| AUM (Assets Under Management) | $ 255,332,207 |
Red Flags
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