Ruth P. Jones
Professional summary
Ruth Porter Jones, who also goes by Ruth P Fields, Ruth Porter Fields, Ruth Ann Herman, Ruth Porter Herman, Ruth Ann Porter, Ruth Ann Wilson, Ruth Porter Yackley, is a registered financial professional currently at LOMBARD SECURITIES INCORPORATED located in Mt. Dora, Florida.
Ruth is registered as a RR (Registered Representative) and started their career in finance in 1977. Ruth has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ruth Porter Jones's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 29, 1996 - Present
LOMBARD SECURITIES INCORPORATED
February 8, 2000 - February 13, 2024
LOMBARD ADVISERS INCORPORATED
February 1, 1993 - July 18, 1996
ROBERT THOMAS SECURITIES, INC
December 8, 1989 - February 4, 1993
FERRIS, BAKER WATTS, LLC
August 13, 1984 - December 21, 1989
FIRST UNION CAPITAL MARKETS CORP.
June 10, 1982 - August 21, 1984
JANNEY MONTGOMERY SCOTT LLC
June 11, 1980 - June 29, 1982
SUMMIT FINANCIAL SERVICES GROUP, INC.
September 1, 1977 - April 26, 1979
LEGG MASON WARREN YORK, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/23/1998)
(1/4/2020)
(4/6/2001)
(3/10/2003)
(7/29/1996)
(4/8/2025)
(1/5/2023)
(2/1/2011)
(7/29/1996)
(1/5/2023)
Exams
Series 15
Date: 6/12/1984
Foreign Currency Options ExaminationFINRA
Current Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
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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