Ruth Finkenstadt
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.
Ruth Finkenstadt, who also goes by Ruth Colagiuri, was a registered financial professional .
Ruth is a previously registered financial professional and started their career in finance in 2007. Ruth had worked at 5 firms and has passed the Series 63, Series 7TO, Series 99TO, Series 57TO, SIE, Series 55, 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
February 15, 2013 - August 31, 2021
CLSA AMERICAS, LLC
November 8, 2011 - April 4, 2012
CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.
November 7, 2011 - June 4, 2013
CREDIT AGRICOLE SECURITIES (USA) INC.
August 10, 2010 - October 24, 2011
UNX LLC
March 7, 2007 - July 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 3/24/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/24/2024
Operations Professional ExaminationSeries 57TO
Date: 3/24/2024
Securities Trader ExamSeries 55
Date: 4/26/2013
Limited Representative-Equity Trader ExamCurrent Firm
CLSA AMERICAS, LLC
CRD#: 165533 / SEC#: , 8-69166
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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