Ruth L. Beltran
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 Lijia Beltran was a registered financial professional .
Ruth is a previously registered financial professional and started their career in finance in 2013. Ruth had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2014 - January 26, 2015
TD AMERITRADE, INC.
May 16, 2014 - January 26, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 16, 2014 - January 26, 2015
TD AMERITRADE, INC.
January 27, 2014 - March 5, 2014
EDWARD JONES
January 6, 2014 - March 5, 2014
EDWARD JONES
September 23, 2013 - November 18, 2013
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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