Brian Ru
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.
Brian Ru, who also goes by Brian Tzu Ru, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2017. Brian had worked at 1 firm and has passed the SIE, Series 7 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2017 - July 24, 2018
RAINE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAINE SECURITIES LLC
CRD#: 137873 / SEC#: , 8-67121
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAINE ADVISORS LLC | OWNER | |
| CHIANESE, ALFRED JOSEPH III | CHIEF OPERATING OFFICER | 6339436 |
| DOHERTY, JAMES HUGH | PRINCIPAL OPERATIONS OFFICER | 4197747 |
| GARDNER, BRANDON WADE | PRESIDENT | 5767814 |
| RAVITCH, JOSEPH | CO-CHIEF EXECUTIVE OFFICER | 2504532 |
| RISHER, ANGELA RENEE | CHIEF COMPLIANCE OFFICER | 6676957 |
| SHAW, ANTHONY | FINOP, PRINCIPAL FINANCIAL OFFICER | 7338445 |
| SINE, JEFFREY ALAN | CO-CHIEF EXECUTIVE OFFICER | 1557736 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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