Sean T. Ruehl

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CRD#: 4287431

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.

Sean Timothy Ruehl, who also goes by Sean T Ruehl, was a registered financial professional .

Sean is a previously registered financial professional and started their career in finance in 2004. Sean had worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sean T Ruehl

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

February 3, 2011 - April 11, 2012

RJ20, INC.

RIA

CRD#: 149575

MORRISVILLE, NC

Past

September 24, 2010 - December 31, 2010

RJ20, INC.

RIA

CRD#: 149575

CHAPEL HILL, NC

Past

December 21, 2007 - January 29, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DURHAM, NC

Past

December 21, 2007 - January 29, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DURHAM, NC

Past

March 11, 2004 - December 10, 2007

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

RALEIGH, NC

Past

February 26, 2004 - December 10, 2007

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

RALEIGH, NC

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".

RJ20, INC.

NAME 807 | RJ20, INC.

CRD#: 149575 / SEC#: 801-74442

RIA

Registered Investment Advisory firm - (4/2/2012 Approved)

North Carolina

Registered Investment Advisory firm - (4/11/2012 Terminated)

Texas

Registered Investment Advisory firm - (4/11/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 66

Date: 3/19/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 3/10/2004

General Securities Representative Examination

Current Firm

RJ20, INC.

NAME 807 | RJ20, INC.

CRD#: 149575 / SEC#: 801-74442

RIA

Registered Investment Advisory firm - (4/2/2012 Approved)

North Carolina

Registered Investment Advisory firm - (4/11/2012 Terminated)

Texas

Registered Investment Advisory firm - (4/11/2012 Terminated)

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Contact information

Main Address

Durham, NC

Mailing Address

Phone number

(877) 438-7520

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RJ20 ADV PART 2A (3/23/2025)

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

Sean T. Ruehl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RJ20, INC.

RJ20, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

RJ20, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/19/2004

Series 7

Date: 3/10/2004

Current Firm

RJ20, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

RJ20, INC.

TRUST BUT VERIFY

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