Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ruth? Claim Your ProfileRuth Kwan is a financial professional with over 10 years of experience in the industry. Currently, Ruth works at RBC Capital Markets, LLC as a registered representative and holds a Series 7, Series 52, Series 79 and SIE licenses. Prior to joining RBC Capital Markets, LLC, Ruth worked at several other firms including SMBC Nikko Securities America, Inc., Barclays Capital Inc. and Jefferies & Company, Inc. Ruth has a strong track record of success in the financial services industry and is committed to providing her clients with the highest level of service and expertise.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
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2
NY
04/18/2022 - Present
RBC Capital Markets, LLC (NEW YORK NY)
NY
05/31/2019 - 04/08/2022
SMBC NIKKO SECURITIES AMERICA, INC. (NEW YORK NY)
NY
03/18/2015 - 06/20/2019
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
10/25/2014 - 02/27/2015
ALVAREZ & MARSAL SECURITIES, LLC (NEW YORK NY)
NY
08/17/2009 - 04/28/2010
JEFFERIES & COMPANY, INC. (NEW YORK NY)
BC
Issued 01/28/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/29/2015
Series 52 - Municipal Securities Representative Examination
BC
Issued 10/25/2014
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 08/15/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE National, Inc.
N
New York Stock Exchange
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