Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames J. Ruddy is a registered representative with Keefe, Bruyette & Woods, Inc. James has been in the securities industry since December 1998. James is registered to conduct business in Alaska, Arkansas, California, Colorado, Connecticut, Florida, Illinois, Iowa, Kansas, Minnesota, Missouri, New Jersey, New York, Ohio, Pennsylvania, South Dakota, Texas, and Wisconsin. James has passed the Series 63, Series 7, and SIE exams.
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.
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.
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2
NJ
03/08/2004 - Present
Keefe, Bruyette & Woods, Inc. (MORRISTOWN NJ)
NY
11/03/2000 - 03/11/2004
UBS SECURITIES LLC (NEW YORK NY)
NJ
12/07/1998 - 11/03/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 03/23/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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