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Steven Jon Ruffini

THE Leaders Group, Inc.

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About Steven Jon Ruffini

Steven Ruffini is a financial professional with over 20 years of experience in the industry. Steven is currently registered with The Leaders Group, Inc. and is licensed to sell securities in several states, including Alabama, Florida, Georgia, and South Carolina. Steven has a strong track record of success in providing financial advice to individuals and families.

Firm Information

Steven Ruffini is currently registered with THE Leaders Group, Inc.. THE Leaders Group, Inc. is a Corporation registered in 52 states and the District of Columbia, with an approved SEC registration. Formed on July 14, 1994, the firm has a history of providing financial services.

Not reported

Assets Under Management

Not reported

Total Clients

854

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Steven Ruffini’s Registration & Firm History

CO

01/03/2023 - Present

THE Leaders Group, Inc. (LITTLETON CO)

GA

06/21/2021 - 10/20/2022

LEVEL FOUR FINANCIAL, LLC (Atlanta GA)

GA

07/17/2020 - 07/07/2021

SECURITIES AMERICA, INC. (ATLANTA GA)

GA

01/07/2016 - 07/17/2020

INVESTACORP, INC. (ATLANTA GA)

GA

12/07/2011 - 12/31/2015

NFP ADVISOR SERVICES, LLC (ATLANTA GA)

CO

09/10/2008 - 10/31/2011

THE LEADERS GROUP, INC. (LITTLETON CO)

TX

02/18/2008 - 08/19/2008

AMERICAN GENERAL EQUITY SERVICES CORPORATION (HOUSTON TX)

RI

02/20/2004 - 04/17/2006

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

MA

01/01/2002 - 09/30/2003

SIGNATOR INVESTORS, INC. (BOSTON MA)

MA

07/25/2001 - 01/01/2002

JOHN HANCOCK FUNDS, INC. (BOSTON MA)

MN

01/25/2000 - 01/17/2001

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

01/25/2000 - 01/17/2001

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

MN

01/09/1998 - 10/29/1999

BISYS BROKERAGE SERVICES, INC. (ST. CLOUD MN)

IN

05/02/1997 - 01/02/1998

MDS SECURITIES INCORPORATED (CARMEL IN)

MN

07/30/1996 - 05/05/1997

CORELINK FINANCIAL, INC. (ST. CLOUD MN)

VA

11/10/1995 - 08/15/1996

GNA SECURITIES, INC. (GLEN ALLEN VA)

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Licenses & Designations

BC

Issued 11/09/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/28/1998

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/14/1997

Series 7 - General Securities Representative Examination

BC

Issued 11/09/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Steven Jon Ruffini.
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