RR
Ryken G. Ruuspakka
ASHTON THOMAS SECURITIES
Endicott, NY 13760
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CRD#: 6630749
RR
Professional summary
Ryken George Ruuspakka is a registered financial advisor currently at ASHTON THOMAS SECURITIES, LLC located in Endicott, New York.
Ryken is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Ryken has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Ryken George Ruuspakka's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ryken George Ruuspakka'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®
NoneExperience
Current
September 8, 2022 - Present
ASHTON THOMAS SECURITIES, LLC
Office #1: Square Deal Place 111 Grant Ave Suite 107, Endicott, NY 13760RIA
BD
CRD#: 16629
Endicott, NY
Current
September 8, 2022 - Present
ASHTON THOMAS SECURITIES, LLC
Office #1: Square Deal Place 111 Grant Ave Suite 107, Endicott, NY 13760RIA
BD
CRD#: 16629
Endicott, NY
Past
June 2, 2017 - September 6, 2022
EDWARD JONES
RIA
CRD#: 250
ELMIRA, NY
Past
December 16, 2016 - September 6, 2022
EDWARD JONES
BD
CRD#: 250
ELMIRA, NY
Past
May 12, 2016 - August 23, 2016
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
ENDICOTT, NY
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".
AT
ASHTON THOMAS SECURITIES, LLC
ASHTON THOMAS SECURITIES, LLC | LANZISERA, JOSEPH ANTHONY | EXCEL SECURITIES & ASSOCIATES,INC. | EXCEL SECURITIES & ASSOCIATES, INC. | EXCEL SECURITIES & ASSOCIATES | EXCEL SECURITIES
CRD#: 16629 / SEC#: 801-69225, 8-34261
RIA
Registered Investment Advisory firm - SEC (6/11/2008 Approved)Florida
Registered Investment Advisory firm - SEC (6/18/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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.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
Arizona(1/2/2024)
RR
Arkansas(4/24/2025)
RR
California(1/2/2024)
RR
Colorado(1/2/2024)
RR
Connecticut(9/29/2022)
RR
Delaware(4/26/2024)
RR
Florida(7/28/2023)
RR
Georgia(1/2/2024)
RR
Illinois(1/2/2024)
RR
Kentucky(1/2/2024)
RR
Louisiana(1/2/2024)
RR
Maine(1/2/2024)
RR
Maryland(1/2/2024)
RR
Massachusetts(1/2/2024)
RR
New Hampshire(1/2/2024)
RR
New Jersey(1/2/2024)
RR
New Mexico(1/2/2024)
RR
New York(9/8/2022)
IAR
New York(9/8/2022)
RR
North Carolina(1/2/2024)
RR
Ohio(1/2/2024)
RR
Oregon(1/2/2024)
RR
Pennsylvania(9/8/2022)
RR
Rhode Island(1/2/2024)
RR
South Carolina(1/2/2024)
RR
Texas(1/2/2024)
RR
Vermont(1/2/2024)
RR
Virginia(1/2/2024)
RR
West Virginia(10/29/2024)
RR
Wisconsin(1/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AT
ASHTON THOMAS SECURITIES, LLC
ASHTON THOMAS SECURITIES, LLC | LANZISERA, JOSEPH ANTHONY | EXCEL SECURITIES & ASSOCIATES,INC. | EXCEL SECURITIES & ASSOCIATES, INC. | EXCEL SECURITIES & ASSOCIATES | EXCEL SECURITIES
CRD#: 16629 / SEC#: 801-69225, 8-34261
RIA
Registered Investment Advisory firm - SEC (6/11/2008 Approved)Florida
Registered Investment Advisory firm - SEC (6/18/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
200 Canal View Blvd. Suite 204, Rochester, NY 14623
Mailing Address
200 Canal View Blvd. Ste. 204, Rochester, NY 14623
Phone number
(585) 424-1234
Established
Delaware since 01/08/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
75
SEC notice filing (44 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,599 |
| AUM (Assets Under Management) | $ 1,717,957,312 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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
ASHTON THOMAS SECURITIES, LLC
CRD#: 16629Endicott, NY 13760TRUST BUT VERIFY
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