Mark Ruttenberg
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.
Mark Ruttenberg, who also goes by Ira Mark Ruttenberg, Mark I Ruttenberg, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1982. Mark had worked at 9 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 1998 - October 29, 1999
SICOR SECURITIES INC
November 15, 1995 - February 13, 1996
AFFILIATED FINANCIAL SERVICES, INC.
July 30, 1993 - February 21, 1997
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
November 2, 1992 - April 13, 1993
RELIASTAR FINANCIAL MARKETING CORP.
January 2, 1990 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
January 2, 1990 - January 7, 1992
MONY SECURITIES CORPORATION
July 24, 1987 - March 1, 1988
MONARCH FINANCIAL SERVICES, INC.
April 25, 1985 - May 12, 1987
TRANSAMERICA CAPITAL, LLC
July 22, 1982 - October 14, 1983
THE GREAT-WEST LIFE ASSURANCE COMPANY
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: 8/2/1972
Registered Representative ExaminationCurrent Firm
SICOR SECURITIES INC
CRD#: 16195 / SEC#: 801-31673, 8-33445
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Red Flags
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