David J. Rueth

HAMILTON LANE SECURITIES LLC

Englewood, CO 80112

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CRD#: 4721129

Professional summary

David James Rueth, who also goes by David Rueth, is a registered financial professional currently at HAMILTON LANE SECURITIES LLC located in Englewood, Colorado.

David is registered as a RR (Registered Representative) and started their career in finance in 2004. David has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Rueth

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) - BD

Click below to view David James Rueth's 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

July 18, 2021 - Present

HAMILTON LANE SECURITIES LLC

Office #1: 10333 East Dry Creek Road Suite 310, Englewood, CO 80112

CRD#: 281510

Englewood, CO

Past

December 11, 2013 - July 16, 2021

IMST DISTRIBUTORS, LLC

CRD#: 130745

DENVER, CO

Past

June 28, 2012 - December 31, 2013

FORESIDE FUND SERVICES, LLC

CRD#: 46106

DENVER, CO

Past

October 11, 2011 - June 28, 2012

GRAND DISTRIBUTION SERVICES, LLC

CRD#: 127700

MILWAUKEE, WI

Past

April 1, 2009 - September 26, 2011

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

NEW YORK, NY

Past

July 6, 2005 - September 26, 2011

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

SCOTTSDALE, AZ

Past

March 4, 2004 - May 13, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SCOTTSDALE, AZ

Past

January 8, 2004 - May 13, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(7/18/2021)

Arizona
(7/18/2021)

California
(7/18/2021)

Colorado
(7/18/2021)

Hawaii
(7/18/2021)

Idaho
(7/18/2021)

Nevada
(7/18/2021)

New Mexico
(7/18/2021)

Oregon
(7/18/2021)

Utah
(7/18/2021)

Washington
(7/18/2021)

Exams

State Security Law Exam

IAR

Series 66

Date: 3/23/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/7/2004

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HAMILTON LANE SECURITIES LLC

CRD#: 281510 / SEC#: , 8-69675

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

110 Washington Street Suite 1300, Conshohocken, PA 19428

Mailing Address

110 Washington Street Suite 1300, Conshohocken, PA 19428

Phone number

(610) 934-2222

Established

Delaware since 08/17/2015

Firm type

Limited Liability Company

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
HAMILTON LANE	MEMBER	107876
BRENNAN, STEPHEN RICHARD JR	CHIEF EXECUTIVE OFFICER	2488932
ROMERO, MONIQUE VICTORIA	FINOP	6712654
SHIN, ROBERT	CHIEF COMPLIANCE OFFICER	2683514

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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Advisor Monitoring

Firm Stability Insights

David J. Rueth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David James Rueth's CRS (Customer Relationship Summary).

Certified licenses

Experience

IMST DISTRIBUTORS, LLC

FORESIDE FUND SERVICES, LLC

GRAND DISTRIBUTION SERVICES, LLC

VOYA INVESTMENT MANAGEMENT CO. LLC

VOYA INVESTMENTS DISTRIBUTOR, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 3/23/2009

SIE

Date: 10/1/2018

Series 7

Date: 1/7/2004

FINRA

Current Firm

HAMILTON LANE SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HAMILTON LANE SECURITIES LLC

TRUST BUT VERIFY

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