Ruth Ann Vega
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.
Ruth Ann Vega, who also goes by Ruthann Kauffman, Ruth Ann Vega, Ruth Ann Zook, Ruthann Kauffman Zook, Ruth Ann Zookvega, was a registered financial professional .
Ruth Ann is a previously registered financial professional and started their career in finance in 1981. Ruth Ann had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2009 - July 1, 2019
J. W. COLE ADVISORS, INC.
July 31, 2009 - July 1, 2019
J.W. COLE FINANCIAL, INC.
October 12, 1989 - December 6, 2017
FINANCIAL PLANNING ASSOCIATES, INC.
March 31, 1989 - August 3, 2009
MUTUAL SERVICE CORPORATION
December 6, 1985 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
June 22, 1981 - August 19, 1986
SIGNATOR INVESTORS, INC.
June 22, 1981 - August 21, 1986
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
Primary Firm SEC Registration
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
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
J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
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.
