Thomas C. Rugg
Professional summary
Thomas Christopher Rugg, who also goes by Thomas Rugg, is a registered financial professional currently at CBRE CAPITAL ADVISORS, INC. located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2006. Thomas has worked at 3 firms and has passed the Series 63, Series 57TO, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Christopher Rugg's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 10, 2024 - Present
CBRE CAPITAL ADVISORS, INC.
Office #1: 200 Park Avenue Suite 2001, New York, NY 10166July 21, 2011 - November 7, 2023
DEUTSCHE BANK SECURITIES INC.
April 26, 2010 - July 22, 2011
WELLS FARGO SECURITIES, LLC
November 8, 2006 - July 9, 2009
WELLS FARGO SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
(5/10/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
CBRE CAPITAL ADVISORS, INC.
CRD#: 140565 / SEC#: , 8-67319
Contact information
FINRA licenses (26 States and Territories)
Documents
Red Flags
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