David C. Ruth
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 Christian Ruth, who also goes by Dave Ruth, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1970. David had worked at 9 firms and has passed the Series 63, Series 1 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 1999 - September 30, 2005
CROWN CAPITAL SECURITIES, L.P.
March 31, 1999 - July 13, 1999
MUTUAL SERVICE CORPORATION
February 29, 1992 - March 23, 1992
ROBERT SCOTT SECURITIES, INC.
February 28, 1992 - March 23, 1992
ROBERT SCOTT SECURITIES, INC.
December 28, 1984 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
May 12, 1982 - January 2, 1985
ANGELES SECURITIES CORPORATION
March 22, 1978 - August 15, 1983
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
July 9, 1976 - May 6, 1978
BRIARWOOD INVESTMENT COUNSEL
May 30, 1975 - July 1, 1976
FORESTERS FINANCIAL SERVICES, INC.
June 15, 1970 - July 6, 1973
Y
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 1
Date: 11/29/1960
Registered Representative ExaminationF04
Date: 6/19/1978
Financial Principal ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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