KA
Kate E. Ambler
RUFFER LLC
New York, NY 10022
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CRD#: 5184820
KA
Professional summary
Kate Elizabeth Ambler, who also goes by Kate Elizabeth Alleyn Miss, Kate Elizabeth Alleyn, is a registered financial professional currently at RUFFER LLC located in New York, New York.
Kate is registered as a RR (Registered Representative) and started their career in finance in 2006. Kate has 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.
CRS (Client Relationship Summary) - BD
Click below to view Kate Elizabeth Ambler'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®
NoneExperience
Current
September 27, 2024 - Present
RUFFER LLC
Office #1: 300 Park Avenue Suite 1710, New York, NY 10022Office #2: 300 Park Avenue Suite 1710, New York, NY 10022BD
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.
RR
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
RR
Alabama(9/27/2024)
RR
Alaska(9/27/2024)
RR
Arizona(9/27/2024)
RR
Arkansas(9/27/2024)
RR
California(9/27/2024)
RR
Colorado(9/27/2024)
RR
Connecticut(9/27/2024)
RR
Delaware(9/27/2024)
RR
District of Columbia(9/27/2024)
RR
Florida(10/17/2024)
RR
Georgia(9/27/2024)
RR
Hawaii(9/27/2024)
RR
Idaho(9/27/2024)
RR
Illinois(9/27/2024)
RR
Indiana(9/27/2024)
RR
Iowa(9/27/2024)
RR
Kansas(9/27/2024)
RR
Kentucky(9/27/2024)
RR
Louisiana(9/27/2024)
RR
Maine(9/27/2024)
RR
Maryland(9/27/2024)
RR
Massachusetts(9/27/2024)
RR
Michigan(9/27/2024)
RR
Minnesota(9/27/2024)
RR
Mississippi(9/27/2024)
RR
Missouri(9/27/2024)
RR
Montana(9/27/2024)
RR
Nebraska(9/27/2024)
RR
Nevada(9/27/2024)
RR
New Hampshire(9/27/2024)
RR
New Jersey(9/27/2024)
RR
New Mexico(9/27/2024)
RR
New York(9/27/2024)
RR
North Carolina(9/27/2024)
RR
North Dakota(9/27/2024)
RR
Ohio(9/27/2024)
RR
Oklahoma(9/27/2024)
RR
Oregon(9/27/2024)
RR
Pennsylvania(9/27/2024)
RR
Rhode Island(9/27/2024)
RR
South Carolina(9/27/2024)
RR
South Dakota(9/27/2024)
RR
Tennessee(9/27/2024)
RR
Texas(9/27/2024)
RR
Utah(9/27/2024)
RR
Vermont(9/27/2024)
RR
Virginia(9/27/2024)
RR
Washington(9/27/2024)
RR
West Virginia(9/27/2024)
RR
Wisconsin(9/27/2024)
RR
Wyoming(9/27/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUFFER IH LIMITED | MEMBER | |
| BRANT, DAVID ROBERT | FINOP, POO, PFO | 2718478 |
| GIMPEL, BRUCE PAUL | MEMBER OF BOARD OF DIRECTORS | 2682838 |
| KUTNEY, CHAD WILLIAM | APPOINTED MANAGER, MEMBER BOARD OF DIRECTORS, DIRECTOR - US INSTITUTIONAL | 4229844 |
| MEIGH, ALEXANDER DONALD | CCO AND AMLCO | 6758162 |
| MOUNTAIN, SIMON OLIVER | MEMBER OF BOARD OF DIRECTORS | 7770385 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
