David E. Ruffner
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 Edward Ruffner was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2004. David had worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2018 - August 22, 2023
B. RILEY SECURITIES, INC.
February 2, 2011 - June 26, 2019
B. RILEY WEALTH MANAGEMENT
July 30, 2010 - December 6, 2010
INDEPENDENT BROKERS LLC
October 7, 2009 - January 11, 2010
W.A. CAPITAL MARKETS
April 24, 2007 - December 23, 2008
AURIGA USA, LLC
October 4, 2004 - September 29, 2006
CHAPDELAINE CORPORATE SECURITIES & CO
January 1, 2004 - October 4, 2004
ICAP SECURITIES USA LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/30/2007
Limited Representative-Equity Trader ExamCurrent Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
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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