Eric S. Ruthman

PHASE LINE CAPITAL

ATLANTA, GA 30327

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CRD#: 6281076

Professional summary

Eric Scott Ruthman, who also goes by Eric S Ruthman, is a registered financial advisor currently at PHASE LINE CAPITAL, LLC located in Atlanta, Georgia and PURSHE KAPLAN STERLING INVESTMENTS located in Atlanta, Georgia.

Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Eric has worked at 4 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eric S Ruthman

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.

1) Phase Line Capital LLC. Investment related. At registered location. RIA firm. Managing Partner/CCO, Financial Advisor. Start 9/2017. 200 Hrs/mo, 160 Trading Hrs. Managing Partner/Financial Advisor/SSA. 2) Fixed Insurance. Investment related. At registered location. Fixed/Traditional Insurance. Agent. Start 7/2021. 4 Hrs/mo, 4 Trading Hrs. Sales of Fixed/Traditional Insurance. 3) PKSF. Investment related. 80 State Street, Albany NY 12207. Fixed/Traditional Insurance. Agent. Start 7/2021. 4 Hrs/mo, 4 Trading Hrs. Sales of fixed/traditional insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Scott Ruthman'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

July 12, 2021 - Present

PHASE LINE CAPITAL, LLC

Office #1: 4401 Northside Pkwy, Nw Suite 285, Atlanta, GA 30327

RIA

CRD#: 315116

ATLANTA, GA

Current

August 11, 2021 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 4401 Northside Pkwy Nw Suite 285, Atlanta, GA 30327

CRD#: 35747

Atlanta, GA

Past

August 30, 2017 - August 13, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

ATLANTA, GA

Past

August 21, 2017 - August 13, 2021

LPL FINANCIAL LLC

CRD#: 6413

ATLANTA, GA

Past

March 3, 2014 - August 22, 2017

EDWARD JONES

RIA

CRD#: 250

WOODSTOCK, GA

Past

February 10, 2014 - August 22, 2017

EDWARD JONES

CRD#: 250

WOODSTOCK, GA

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

Alabama
(8/16/2021)

Colorado
(8/11/2021)

District of Columbia
(8/11/2021)

Florida
(8/11/2021)

IAR

Georgia
(7/12/2021)

Georgia
(8/11/2021)

North Carolina
(8/11/2021)

IAR

North Carolina
(4/23/2025)

Pennsylvania
(8/11/2021)

Texas
(8/11/2021)

Virginia
(8/11/2021)

Washington
(8/11/2021)

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: 2/28/2014

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/10/2014

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PHASE LINE CAPITAL, LLC

CRD#: 315116 / SEC#: 801-121716

RIA

Registered Investment Advisory firm - (9/10/2024 Terminated)

Georgia

Registered Investment Advisory firm - (9/5/2024 Approved)

North Carolina

Registered Investment Advisory firm - (5/10/2024 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

4401 Northside Pkwy, Nw Suite 285, Atlanta, GA 30327

Mailing Address

Phone number

(470) 586-6566

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	263
AUM (Assets Under Management)	$ 44,902,390

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

Eric S. Ruthman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Eric Scott Ruthman's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 2/28/2014

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/10/2014

FINRA

Current Firm

PHASE LINE CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PHASE LINE CAPITAL, LLC

TRUST BUT VERIFY

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