Steven C. Ruta

FIRST TRUST ADVISORS LP

LINCROFT, NJ

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CRD#: 5941110

Professional summary

Steven Christopher Ruta, who also goes by Steven Ruta, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Lincroft, New Jersey and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Steven has worked at 10 firms and has passed the Series 66, Series 31, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven Ruta

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) - RIA

Click below to view Steven Christopher Ruta's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 16, 2026 - Present

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

LINCROFT, NJ

Current

January 12, 2026 - Present

FIRST TRUST PORTFOLIOS L.P.

Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187

CRD#: 28519

WHEATON, IL

Past

April 7, 2025 - January 2, 2026

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

Lincroft, NJ

Past

April 7, 2025 - January 2, 2026

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

March 8, 2024 - March 18, 2025

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

March 20, 2021 - March 27, 2024

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

NEW YORK, NY

Past

March 17, 2021 - March 19, 2021

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

NEW YORK, NY

Past

March 17, 2021 - March 27, 2024

FIFTH THIRD SECURITIES, INC.

CRD#: 628

NEW YORK, NY

Past

February 2, 2021 - February 9, 2021

CHELSEA FINANCIAL SERVICES

CRD#: 47770

STATEN ISLAND, NY

Past

November 18, 2020 - December 8, 2020

LUCID CAPITAL MARKETS, LLC

CRD#: 140345

New York, NY

Past

February 29, 2016 - June 25, 2020

LORD, ABBETT & CO. LLC

RIA

CRD#: 110391

JERSEY CITY, NJ

Past

July 9, 2015 - June 25, 2020

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Past

April 21, 2015 - July 2, 2015

LEGEND EQUITIES CORPORATION

CRD#: 30999

PALM BEACH GARDENS, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Illinois
(1/16/2026)

New Jersey
(1/12/2026)

New York
(1/21/2026)

Texas
(3/16/2026)

IAR

Texas
(3/16/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/25/2016

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 4/14/2025

Futures Managed Funds Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/21/2015

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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Contact information

Main Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Mailing Address

Phone number

(630) 765-8000

Established

Firm type

Fiscal year end

# of Employees

520

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FTA FORM ADV PART 2A BROCHURE - 03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,033
AUM (Assets Under Management)	$ 256,328,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Steven C. Ruta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Christopher Ruta's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST TRUST ADVISORS LP

FIRST TRUST PORTFOLIOS L.P.

NEUBERGER BERMAN BD LLC

NEUBERGER BERMAN BD LLC

TRANSAMERICA CAPITAL, LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

CHELSEA FINANCIAL SERVICES

LUCID CAPITAL MARKETS, LLC

LORD, ABBETT & CO. LLC

LORD ABBETT DISTRIBUTOR LLC

LEGEND EQUITIES CORPORATION

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 2/25/2016

Series 31

Date: 4/14/2025

SIE

Date: 10/1/2018

Series 7

Date: 4/21/2015

FINRA

Current Firm

FIRST TRUST ADVISORS LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST TRUST ADVISORS LP

TRUST BUT VERIFY

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