Alexander E. Ruby

ASSET PLANNING

W. Palm Beach, FL 33401

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CRD#: 6500884

Professional summary

Alexander Evan Ruby, who also goes by Alex Ruby, is a registered financial advisor currently at ASSET PLANNING CORPORATION located in W. Palm Beach, Florida and CAMBRIDGE INVESTMENT RESEARCH, INC. located in West Palm Beach, Florida.

Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Alexander has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alex Ruby

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) ASSET PLANNING CORP, 1615 FORUM PLACE, STE 1A, WEST PALM BEACH, FL, ADVISORY REP/VICE PRESIDENT OF A REGISTERED INVESTMENT ADVISOR, RIA, INV REL, 03/02/20, INVESTMENT MANAGER, 40/WK- 6.6/TRADING 2) FINANCIAL PLANNING INVESTMENT GROUP, 1615 FORUM PLACE #1A, WEST PALM BEACH, FL, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES,06/02/20, INV REL, 5/WK- 5/TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander Evan Ruby'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 2, 2020 - Present

ASSET PLANNING CORPORATION

Office #1: 1615 Forum Place Suite 1a, W. Palm Beach, FL 33401

RIA

CRD#: 126242

W. Palm Beach, FL

Current

August 12, 2016 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 1615 Forum Pl Ste 1a, West Palm Beach, FL 33401

CRD#: 39543

West Palm Beach, 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".

ASSET PLANNING CORPORATION

CRD#: 126242 / SEC#: 801-63461

RIA

Registered Investment Advisory firm - (9/2/2004 Approved)

Connecticut

Registered Investment Advisory firm - (1/5/2005 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2004 Terminated)

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).

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

California
(10/27/2022)

Connecticut
(3/2/2023)

Delaware
(12/21/2022)

Florida
(8/15/2016)

IAR

Florida
(3/2/2020)

Georgia
(10/27/2022)

Michigan
(10/27/2022)

Montana
(10/25/2023)

New York
(10/27/2022)

North Carolina
(10/28/2022)

Ohio
(10/28/2022)

Oregon
(5/16/2023)

Pennsylvania
(3/2/2023)

Rhode Island
(10/11/2024)

Texas
(10/5/2023)

Virginia
(10/27/2022)

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: 8/10/2019

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/12/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/9/2025

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ASSET PLANNING CORPORATION

CRD#: 126242 / SEC#: 801-63461

RIA

Registered Investment Advisory firm - (9/2/2004 Approved)

Connecticut

Registered Investment Advisory firm - (1/5/2005 Terminated)

Florida

Registered Investment Advisory firm - (12/31/2004 Terminated)

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Contact information

Main Address

1615 Forum Place Suite 1a, W. Palm Beach, FL 33401

Mailing Address

Phone number

(561) 689-5724

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASSET PLANNING CORPORATION APPENDIX 1 WRAP BROCHURE (2/4/2025)

ASSET PLANNING CORPORATION ADV DISCLOSURE BROCHURE (2/4/2025)

Regulatory assets under management

Total Number of Accounts	246
AUM (Assets Under Management)	$ 90,592,841

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Alexander E. Ruby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander Evan Ruby's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

Primary Firm SEC Registration

ASSET PLANNING CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 8/10/2019

SIE

Date: 10/1/2018

Series 7

Date: 8/12/2016

Series 24

Date: 7/9/2025

FINRA

Current Firm

ASSET PLANNING CORPORATION

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASSET PLANNING CORPORATION

TRUST BUT VERIFY

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