Steven C. Ruta
Professional summary
Steven Christopher Ruta, who also goes by Steven Ruta, is a registered financial professional currently at FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2015. Steven has worked at 9 firms and has passed the Series 66, Series 31, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Christopher Ruta's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 12, 2026 - Present
FIRST TRUST PORTFOLIOS L.P.
Office #1: 120 E. Liberty Drive Suite 400, Wheaton, IL 60187April 7, 2025 - January 2, 2026
NEUBERGER BERMAN BD LLC
April 7, 2025 - January 2, 2026
NEUBERGER BERMAN BD LLC
March 8, 2024 - March 18, 2025
TRANSAMERICA CAPITAL, LLC
March 20, 2021 - March 27, 2024
FIFTH THIRD SECURITIES, INC.
March 17, 2021 - March 19, 2021
FIFTH THIRD SECURITIES, INC.
March 17, 2021 - March 27, 2024
FIFTH THIRD SECURITIES, INC.
February 2, 2021 - February 9, 2021
CHELSEA FINANCIAL SERVICES
November 18, 2020 - December 8, 2020
LUCID CAPITAL MARKETS, LLC
February 29, 2016 - June 25, 2020
LORD, ABBETT & CO. LLC
July 9, 2015 - June 25, 2020
LORD ABBETT DISTRIBUTOR LLC
April 21, 2015 - July 2, 2015
LEGEND EQUITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/16/2026)
(1/12/2026)
(1/21/2026)
Exams
FINRA
Current Firm
FIRST TRUST PORTFOLIOS L.P.
CRD#: 28519 / SEC#: , 8-43843
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRACE PARTNERS OF DUPAGE L.P. | LIMITED PARTNER | |
| BOWEN, JAMES ALLEN | CHIEF EXECUTIVE OFFICER | 1123316 |
| BOWEN, MARISA ANN | MANAGING DIRECTOR | 1949032 |
| DYKAS, JAMES MARTIN | CHIEF FINANCIAL OFFICER / MANAGING DIRECTOR | 2264809 |
| JACKSON, ERIK SOREN | CHIEF COMPLIANCE OFFICER | 2950559 |
| JARDINE, WILLIAM SCOTT | GENERAL COUNSEL | 2609233 |
| MCGAREL, DAVID GERARD | MANAGING DIRECTOR | 2945880 |
| MCGAREL, DAVID GERARD | CHIEF OPERATING OFFICER | 2945880 |
| ROGGENSACK, ANDREW SCOTT | PRESIDENT | 1582059 |
| THE CHARGER CORPORATION | GENERAL PARTNER |
Disclosures
| Regulatory Event | 4 |
Red Flags
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