Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frederick? Claim Your ProfileFrederick Cady Ruggles is a Registered Investment Advisor Representative who has been in the industry since July 22, 1993. Frederick Cady Ruggles is currently registered with &partners. Frederick Cady Ruggles was previously registered with ROSS, SINCLAIRE & ASSOCIATES, LLC, STEPHENS INC., J.C. BRADFORD & CO., HUNTINGTON CAPITAL CORP., J.C. BRADFORD & CO. and BANC ONE CAPITAL CORPORATION. Frederick Cady Ruggles is also licensed to provide financial services in Florida and Tennessee.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Portfolio manager selection, furnish advice not involving securities, research report services, 1042 portfolio construction
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Trans fee, service charges; 12b-1; money market trls; bdsp
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2
TN
01/29/2008 - Present
&partners (NASHVILLE TN)
OH
02/24/2004 - 08/22/2007
ROSS, SINCLAIRE & ASSOCIATES, LLC (CINCINNATI OH)
AR
08/01/2000 - 02/26/2004
STEPHENS INC. (LITTLE ROCK AR)
NY
01/11/1996 - 07/06/2000
J.C. BRADFORD & CO. (NEW YORK NY)
OH
10/18/1994 - 12/15/1995
HUNTINGTON CAPITAL CORP. (COLUMBUS OH)
NY
08/09/1993 - 10/05/1994
J.C. BRADFORD & CO. (NEW YORK NY)
OH
05/05/1993 - 07/23/1993
BANC ONE CAPITAL CORPORATION (COLUMBUS OH)
IA
Issued 01/17/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/13/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/13/2004
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/16/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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