Brian E. Ruddy
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.
Brian Emmett Ruddy was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2004. Brian had worked at 5 firms and has passed the Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2023 - May 7, 2024
XR SECURITIES LLC
August 7, 2019 - February 1, 2023
SUMO CAPITAL, LLC
November 26, 2018 - February 12, 2019
RAPID EXECUTION SERVICES, LLC
June 10, 2013 - January 13, 2017
VOLANT LIQUIDITY, LLC
July 28, 2004 - August 23, 2012
CTC, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
XR SECURITIES LLC
CRD#: 145357 / SEC#: , 8-67724
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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