Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert William Ruffing is a financial advisor with Piper Sandler & Co. Robert has over 20 years of experience in the financial services industry. Robert specializes in analytical reports, public finance consulting programs, and portfolio management for businesses. Robert is registered with FINRA.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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.
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2
MN
04/01/2021 - Present
Piper Sandler & Co. (MINNEAPOLIS MN)
OH
07/19/2010 - 04/27/2021
KEYBANC CAPITAL MARKETS INC. (CLEVELAND OH)
CA
03/02/2006 - 08/01/2008
FRIEDMAN, BILLINGS, RAMSEY & CO., INC. (LOS ANGELES CA)
MO
03/29/2004 - 02/28/2006
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
07/11/2001 - 04/09/2004
SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)
NY
08/04/2000 - 06/18/2001
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NJ
09/23/1999 - 12/09/1999
DLJDIRECT INC. (JERSEY CITY NJ)
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/31/2005
Series 24 - General Securities Principal Examination
BC
Issued 04/05/2001
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/04/2005
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/22/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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