Brian D. Ruff
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 Daniel Ruff, who also goes by Brian Ruff, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2018. Brian had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2025 - January 5, 2026
BANKERS LIFE SECURITIES, INC.
May 21, 2025 - January 5, 2026
BANKERS LIFE ADVISORY SERVICES, INC.
July 13, 2023 - February 28, 2024
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 13, 2023 - February 28, 2024
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 18, 2022 - February 13, 2023
LPL FINANCIAL LLC
May 18, 2022 - February 13, 2023
LPL FINANCIAL LLC
February 13, 2020 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
February 13, 2020 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
January 24, 2019 - January 24, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
January 14, 2019 - January 24, 2020
THRIVENT INVESTMENT MANAGEMENT INC.
August 9, 2018 - November 15, 2018
EDWARD JONES
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
BANKERS LIFE SECURITIES, INC.
CRD#: 173962 / SEC#: , 8-69562
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CDOC, INC. | PARENT COMPANY | |
| GOLDBERG, SCOTT LOUIS | BOARD MEMBER | 5296395 |
| HEILMAN, CHERYL LYNN | PRESIDENT/CEO/DIRECTOR | 2114445 |
| JOSEPHSON, STEVEN M | COO, DIRECTOR | 2239540 |
| KELLY, BRETT J | DIRECTOR, BLS OPERATIONS | 4818868 |
| LAMSON, MARK LEE | DIRECTOR OF SALES PRACTICE | 1796166 |
| MCDONOUGH, PAUL H | BOARD MEMBER | 7089411 |
| ROBERTS, ALBERTA STEPHENS | CHIEF COMPLIANCE OFFICER/ SECRETARY | 2681068 |
| TUCKER, CLARK BOMAR | FINOP | 1977842 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
