Paul Ruthfield

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CRD#: 407948

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 Ruthfield was a registered financial advisor .

Paul is a previously registered financial advisor and started their career in finance in 1970. Paul had worked at 14 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 1, Series 12, Series 4 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 7, 2011 - December 2, 2011

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

BOCA RATON, FL

Past

June 13, 2011 - December 2, 2011

OPPENHEIMER & CO. INC.

CRD#: 249

BOCA RATON, FL

Past

June 1, 2009 - March 30, 2011

MORGAN STANLEY

RIA

CRD#: 149777

NORTH PALM BEACH, FL

Past

June 1, 2009 - March 30, 2011

MORGAN STANLEY

CRD#: 149777

NORTH PALM BEACH, FL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

PALM BEACH, FL

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

PALM BEACH, FL

Past

August 16, 1995 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PALM BEACH, FL

Past

August 9, 1995 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PALM BEACH, FL

Past

August 7, 1992 - August 2, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 21, 1983 - May 27, 1992

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 7, 1980 - September 20, 1983

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

March 21, 1979 - February 11, 1980

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

November 22, 1977 - April 20, 1979

LEHMAN BROTHERS INC.

CRD#: 7506

Past

November 17, 1976 - November 22, 1977

SHEARSON HAYDEN STONE INC.

CRD#: 7295

Past

November 8, 1974 - November 17, 1976

SHEARSON HAYDEN STONE INC.

CRD#: 6774

Past

October 26, 1973 - November 8, 1974

HAYDEN STONE INC.

CRD#: 6567

Past

June 1, 1972 - October 26, 1973

H. HENTZ & CO., INC.

CRD#: 376

Past

September 28, 1970 - June 5, 1972

JII SECURITIES INC.

CRD#: 406

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OPPENHEIMER & CO. INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/18/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/13/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 15

Date: 11/17/1982

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 11/18/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 1

Date: 10/24/1966

Registered Representative Examination

Principal/Supervisory Exam

Series 12

Date: 11/1/1981

NYSE Branch Manager Examination

Principal/Supervisory Exam

Series 4

Date: 9/13/1977

Registered Options Principal Examination

Principal/Supervisory Exam

Series 00

Date: 9/19/1970

General Securities Principal Examination

Current Firm

OPPENHEIMER & CO. INC.

CRD#: 249 / SEC#: 801-887, 8-4077

RIA

Registered Investment Advisory firm - SEC (2/9/1955 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

85 Broad Street 22nd Floor, New York, NY 10004

Mailing Address

85 Broad Street 22nd Floor, Ny, NY 10004

Phone number

(212) 668-8000

Established

New York since 12/23/1954

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

2,883

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OPPENHEIMER CO. INC. PART 2A APPENDIX 1 (3/27/2025)

OPPENHEIMER CO. INC. PART 2A OF FORM ADV (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
VINER FINANCE INC.	PARENT CO.
CASSIDY, THOMAS EDWARD	MANAGING DIRECTOR	4502955
GIORDANO, PETER JOHN	MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER	2921308
HARRINGTON, EDWARD PATRICK	EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES	2566682
LOWENTHAL, ALBERT GRINSFELDER	EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L	313519
LOWENTHAL, ROBERT STEVEN	CEO-PRESIDENT-DIRECTOR	1639913
MCNAMARA, DENNIS PATRICK	E.V.P./CLO/SECRETARY	2938486
MOLOKIE JR, LEON E	EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER	1743402
VALENTINO, DOMINIC THOMAS	CHIEF COMPLIANCE OFFICER	6940515
WATKINS, BRAD MICHAEL	DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO	6319251

Regulatory assets under management

Total Number of Accounts	37,605
AUM (Assets Under Management)	$ 32,418,994,154

Disclosures

Regulatory Event	102
Civil Event	1
Arbitration	180
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
10/25/2023	Cover Page	Report
02/24/2023	Cover Page	Report

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.

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Firm Stability Insights

Paul Ruthfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPPENHEIMER & CO. INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL EQUITY GROUP, LLC

THOMSON MCKINNON SECURITIES INC.

CIBC WORLD MARKETS CORP.

LEHMAN BROTHERS INC.

SHEARSON HAYDEN STONE INC.

SHEARSON HAYDEN STONE INC.

HAYDEN STONE INC.

H. HENTZ & CO., INC.

JII SECURITIES INC.

Primary Firm SEC Registration

OPPENHEIMER & CO. INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/18/1993

Series 63

Date: 7/13/1979

Series 15

Date: 11/17/1982

Series 5

Date: 11/18/1981

Series 1

Date: 10/24/1966

Series 12

Date: 11/1/1981

Series 4

Date: 9/13/1977

Series 00

Date: 9/19/1970

Current Firm

OPPENHEIMER & CO. INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OPPENHEIMER & CO. INC.

TRUST BUT VERIFY

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