Ruth A. Maresca

GODFREY FINANCIAL ASSOCIATES

Glenmont, NY 12077-3801

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CRD#: 4585822

Professional summary

Ruth Alice Maresca, who also goes by Ruth Alice Demberg, Ruth Alice Johnson, Ruth Alice Johnson, is a registered financial advisor currently at GODFREY FINANCIAL ASSOCIATES, INC. located in Glenmont, New York.

Ruth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Ruth has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ruth Alice Demberg | Ruth Alice Johnson | Ruth Alice Johnson

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.

1)05/18/2022 - Demberg Farm LLC-Not Investment- Other- Alternate Trustee- Start Date- 6/27/16 2)05/18/2022 - Notary Public-Not Investment- At Reported Business Location(s)- Other - Notary- Notary- Start Date- 8/22/93

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ruth Alice Maresca's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 7, 2023 - Present

GODFREY FINANCIAL ASSOCIATES, INC.

Office #1: 797 Route 9w, Glenmont, NY 12077-3801

RIA

CRD#: 126189

Glenmont, NY

Past

May 18, 2022 - August 15, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

LATHAM, NY

Past

May 18, 2022 - August 15, 2023

LPL FINANCIAL LLC

CRD#: 6413

LATHAM, NY

Past

July 31, 2019 - May 18, 2022

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

Latham, NY

Past

July 9, 2019 - May 18, 2022

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

Latham, NY

Past

September 21, 2016 - December 31, 2016

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

Amsterdam, NY

Past

September 21, 2016 - June 28, 2019

KEY INVESTMENT SERVICES LLC

CRD#: 136300

Amsterdam, NY

Past

November 25, 2013 - September 21, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

WATERVLIET, NY

Past

May 28, 2013 - September 21, 2016

LPL FINANCIAL LLC

CRD#: 6413

WATERVLIET, NY

Past

November 5, 2009 - May 24, 2013

KEY INVESTMENT SERVICES LLC

CRD#: 136300

ALBANY, NY

Past

April 27, 2007 - August 19, 2008

MML INVESTORS SERVICES, LLC

CRD#: 10409

ALBANY, NY

Past

October 20, 2004 - November 30, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

CHATHAM, NY

Past

October 10, 2002 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

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".

GODFREY FINANCIAL ASSOCIATES, INC.

GODFREY FINANCIAL ASSOCIATES, INC. | KATHLENN GODFREY FINANCIAL PLANNING | KATHLEEN GODFREY FINANCIAL PLANNING | GODFREY, KATHLEEN LOUISE

CRD#: 126189 / SEC#: 801-78531

RIA

Registered Investment Advisory firm - (9/20/2013 Approved)

New York

Registered Investment Advisory firm - (11/6/2013 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(8/7/2023)

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: 7/13/2019

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/22/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/7/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/3/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/9/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GODFREY FINANCIAL ASSOCIATES, INC.

GODFREY FINANCIAL ASSOCIATES, INC. | KATHLENN GODFREY FINANCIAL PLANNING | KATHLEEN GODFREY FINANCIAL PLANNING | GODFREY, KATHLEEN LOUISE

CRD#: 126189 / SEC#: 801-78531

RIA

Registered Investment Advisory firm - (9/20/2013 Approved)

New York

Registered Investment Advisory firm - (11/6/2013 Terminated)

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Contact information

Main Address

797 Route 9w, Glenmont, NY 12077-3801

Mailing Address

Phone number

(518) 767-2574

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GODFREY FINANCIAL ASSOCIATES, INC. (2/14/2025)

Regulatory assets under management

Total Number of Accounts	618
AUM (Assets Under Management)	$ 159,568,214

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Ruth A. Maresca

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ruth Alice Maresca's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

KEY INVESTMENT SERVICES LLC

MML INVESTORS SERVICES, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

Primary Firm SEC Registration

GODFREY FINANCIAL ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/13/2019

Series 65

Date: 11/22/2013

Series 63

Date: 12/7/2002

SIE

Date: 10/1/2018

Series 7

Date: 11/3/2010

Series 6

Date: 10/9/2002

Current Firm

GODFREY FINANCIAL ASSOCIATES, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GODFREY FINANCIAL ASSOCIATES, INC.

TRUST BUT VERIFY

Contact information

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