Diana L. Ruddy

CASTLE PLACEMENT

New York, NY 10036

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CRD#: 6837527

Professional summary

Diana Lynn Ruddy, who also goes by Diana Lynn Gamble, is a registered financial professional currently at CASTLE PLACEMENT, LLC located in New York, New York.

Diana is registered as a RR (Registered Representative) and started their career in finance in 2018. Diana has worked at 3 firms and has passed the Series 66, Series 79TO, Series 7TO, SIE and Series 99 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Diana Lynn Gamble

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.

Vigilante Finance, LLC; non-investment related; Great Falls, MT; LLC; Owner; 2 to 5 hours per month; no time during securities trading hours; work as a consultant to two small businesses providing bookkeeping and busines management services. 2) NAME OF ENTITY: Eagle Mount ADDRESS: PO Box 2866 Great Falls, MT 59403 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Nonprofit organization providing recreational opportunities for individuals with disabilities CAPACITY: Board of Directors * START DATE: 11.01.22 DUTIES: Grant writing, fundraising, review annual budget PER MONTH: 1; SECURITIES HOURS: 0

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Diana Lynn Ruddy'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

November 14, 2024 - Present

CASTLE PLACEMENT, LLC

Office #1: 1460 Broadway, New York, NY 10036

CRD#: 189511

New York, NY

Past

April 22, 2022 - February 1, 2024

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

GREAT FALLS, MT

Past

February 3, 2022 - June 16, 2023

RBC CAPITAL MARKETS, LLC

CRD#: 31194

GREAT FALLS, MT

Past

June 29, 2018 - February 3, 2022

D.A. DAVIDSON & CO.

CRD#: 199

GREAT FALLS, MT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Montana
(11/18/2024)

New York
(11/14/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 4/21/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 7/9/2024

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 3/28/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 99

Date: 6/29/2018

Operations Professional Examination

SRO Registrations

FINRA

Current Firm

CASTLE PLACEMENT, LLC

CRD#: 189511 / SEC#: , 8-69612

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1460 Broadway, New York, NY 10036

Mailing Address

1460 Broadway, New York, NY 10036

Phone number

(212) 418-1180

Established

Delaware since 03/13/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CASTLE PLACEMENT GROUP LLC	MEMBER
BEATON, DANIEL STEWART	FINOP	4240769
LUFTIG, RICHARD STEVEN	CCO, EXEC REP, AML SUPERVISOR	2391290
MARGOLIS, KENNETH HARRY	MANAGER, HOME OFFICE SUPERVISOR	2230861

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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Firm Stability Insights

Diana L. Ruddy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Diana Lynn Ruddy's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

D.A. DAVIDSON & CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/21/2022

Series 79TO

Date: 7/9/2024

Series 7TO

Date: 3/28/2022

SIE

Date: 10/1/2018

Series 99

Date: 6/29/2018

FINRA

Current Firm

CASTLE PLACEMENT, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CASTLE PLACEMENT, LLC

TRUST BUT VERIFY

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