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CR

Claudia J. Ruemmelein

VONTOBEL SECURITIES LTD.
Zurich, 8002
Some features on this profile are disabled
CRD#: 6023921
CR

Professional summary

Claudia Julia Ruemmelein is a registered financial professional currently at VONTOBEL SECURITIES LTD. .

Claudia is registered as a RR (Registered Representative) and started their career in finance in 2012. Claudia has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Claudia Julia Ruemmelein'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®
None

Experience

Current

May 28, 2025 - Present

VONTOBEL SECURITIES LTD.

Office #1: Gotthardstrasse 44, Zurich 8002Office #2: Gotthardstrasse 44, Zurich 8002
BD
CRD#: 21368
Zurich,
Past

June 1, 2023 - August 30, 2023

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
Coral Gables, FL
Past

July 2, 2019 - July 19, 2022

GALILEO GLOBAL SECURITIES, LLC

BD
CRD#: 140076
NEW YORK, NY
Past

June 15, 2015 - July 31, 2019

OLD CITY SECURITIES LLC

BD
CRD#: 171910
NEW YORK, NY
Past

November 7, 2012 - August 6, 2014

FIRST AVENUE

BD
CRD#: 145860
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
Massachusetts
(5/28/2025)
RR
New York
(5/28/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/5/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/6/2012
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VS
VONTOBEL SECURITIES LTD.
VONTOBEL SECURITIES LIMITED | VONTOBEL SECURITIES LTD.

CRD#: 21368 / SEC#: , 8-38977

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
Gotthardstrasse 44, Zurich 8002
Mailing Address
66 Hudson Boulevard 34th Floor, New York, NY 10001
Phone number
1141 58 283 71 11
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
VONTOBEL HOLDING AGOWNER
DUENKI, BEATCHIEF EXECUTIVE OFFICER6041752
GURCZYNSKI, KATHY ANNCCO2201270
SCHUEMPERLI, SUSANNECFO/FINOP5760445

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.

Company Information

VONTOBEL SECURITIES LTD.

CRD#: 21368Zurich 8002

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