Lauren A. Ruffo
Professional summary
Lauren A Ruffo is a registered financial professional currently at SMBC NIKKO SECURITIES AMERICA, INC. located in New York, New York and SMBC NIKKO SECURITIES CANADA, LTD. located in New York, New York.
Lauren is registered as a RR (Registered Representative) and started their career in finance in 2012. Lauren has worked at 3 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lauren A Ruffo's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 8, 2018 - Present
SMBC NIKKO SECURITIES AMERICA, INC.
Office #1: 277 Park Avenue, New York, NY 10172Office #2: Harborside Financial Center 2 200 Hudson Street, Suite 402, Jersey City, NJ 07311November 12, 2019 - Present
SMBC NIKKO SECURITIES CANADA, LTD.
Office #1: 277 Park Avenue, New York, NY 10172September 17, 2012 - May 23, 2018
INSTINET, LLC
State Registrations and Notice Filings
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Exams
FINRA
Current Firm
SMBC NIKKO SECURITIES CANADA, LTD.
CRD#: 297706 / SEC#: , 8-70176
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SMBC NIKKO SECURITIES AMERICA, INC. | SHAREHOLDER | 28602 |
| ASHBY, SCOTT ALLEN | DIRECTOR | 2883181 |
| BAUSANO, THOMAS BARRY | DIRECTOR | 4009782 |
| KEE, DAVID | CEO, DIRECTOR | 6238539 |
| PARRISH, MICHAEL JOHN | CHIEF COMPLIANCE OFFICER | 5577471 |
| TUN, NATHAN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5551828 |
Red Flags
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