Elinor M. Rutz
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.
Elinor Marie Rutz, who also goes by Elinor M Rutz, was a registered financial professional .
Elinor is a previously registered financial professional and started their career in finance in 1971. Elinor had worked at 3 firms and has passed the Series 63, SIE, Series 15, Series 5, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 1995 - July 25, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
March 10, 1976 - June 9, 1995
DICKINSON & CO.
October 12, 1971 - March 31, 1976
ARNET-MCCABE & CO., 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: 9/14/1983
Foreign Currency Options ExaminationSeries 5
Date: 11/11/1981
Interest Rate Options ExaminationSeries 1
Date: 10/6/1971
Registered Representative ExaminationCurrent Firm
BROKER DEALER FINANCIAL SERVICES CORP.
CRD#: 8073 / SEC#: , 8-24220
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
