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KA

Kate E. Ambler

Some features on this profile are disabled
CRD#: 5184820
KA

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.

Kate Elizabeth Ambler, who also goes by Kate Elizabeth Alleyn Miss, Kate Elizabeth Alleyn, was a registered financial professional .

Kate is a previously registered financial professional and started their career in finance in 2006. Kate had worked at 3 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kate Elizabeth Alleyn Miss | Kate Elizabeth Alleyn

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 27, 2024 - November 28, 2025

RUFFER LLC

BD
CRD#: 322523
New York, NY
Past

November 13, 2009 - December 31, 2010

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
New York, NY
Past

November 10, 2009 - September 20, 2024

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
New York, NY
Past

August 28, 2006 - May 13, 2009

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/5/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/22/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/26/2006
General Securities Representative Examination

Current Firm

RL
RUFFER LLC
RUFFER LLC | RUFFER NORTH AMERICA LLC

CRD#: 322523 / SEC#: , 8-70952

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
300 Park Avenue Suite 1710, New York, NY 10022
Mailing Address
300 Park Avenue Suite 1710, New York, NY 10022
Phone number
+1 (203) 524-8145
Established
Delaware since 04/01/2022
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
RUFFER IH LIMITEDMEMBER
BRANT, DAVID ROBERTFINOP, POO, PFO2718478
GIMPEL, BRUCE PAULMEMBER OF BOARD OF DIRECTORS2682838
KUTNEY, CHAD WILLIAMAPPOINTED MANAGER, MEMBER BOARD OF DIRECTORS, DIRECTOR - US INSTITUTIONAL4229844
MEIGH, ALEXANDER DONALDCCO AND AMLCO6758162
MOUNTAIN, SIMON OLIVERMEMBER OF BOARD OF DIRECTORS7770385

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.

Company Information

RUFFER LLC

CRD#: 322523

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