SR
Sean Ruman
SETTER CAPITAL
Toronto, Ontario, M4W 3E2
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CRD#: 7541303
SR
Professional summary
Sean Ruman is a registered financial professional currently at SETTER CAPITAL INC. .
Sean is registered as a RR (Registered Representative) and started their career in finance in 2022. Sean has worked at 1 firm and has passed the Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
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) - BD
Click below to view Sean Ruman'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
June 27, 2022 - Present
SETTER CAPITAL INC.
Office #1: 2 Bloor Street West Suite 1700, Toronto, Ontario, M4W 3E2Office #2: 2 Bloor Street West Suite 1700, Toronto, On, M4W 3E2BD
CRD#: 141652
Toronto, Ontario,
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
RR
Series 7TO
Date: 6/27/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SC
SETTER CAPITAL INC.
SETTER CAPITAL INC.
CRD#: 141652 / SEC#: , 8-67403
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
2 Bloor Street West Suite 1700, Toronto, Ontario, M4W 3E2
Mailing Address
2 Bloor Street West Suite 1700, Toronto, Ontario, M4W 3E2
Phone number
(416) 964-9555
Established
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (27 States and Territories)
Red Flags
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Company Information
SETTER CAPITAL INC.
CRD#: 141652Toronto, Ontario, M4W 3E2TRUST BUT VERIFY
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