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SANDRA JANE RUTAN
CRD#: 1144255
IA
B
MORGAN STANLEYCRD#: 149777 800 Newport Center Drive
Suite 500
Newport Beach, CA 92660
Suite 500
Newport Beach, CA 92660
0
Disclosures
41
Years of Experience
View By:
State Registrations
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Alabama 4/29/2022
B
Nebraska 2/20/2019
B
Alaska 4/29/2022
B
Nevada 2/20/2019
B
Arizona 5/11/2022
B
New Hampshire 5/25/2022
B
Arkansas 2/20/2019
B
New Jersey 5/25/2022
B
California 6/1/2009
B
New Mexico 2/20/2019
IA
California 6/1/2009
B
New York 5/24/2018
B
Colorado 5/8/2020
B
North Carolina 2/20/2019
B
Connecticut 8/29/2018
B
North Dakota 2/20/2019
B
Delaware 5/11/2022
B
Ohio 5/27/2022
B
District of Columbia 5/11/2022
B
Oklahoma 5/25/2022
B
Florida 2/20/2019
B
Oregon 9/21/2015
B
Georgia 2/20/2019
B
Pennsylvania 5/25/2022
B
Hawaii 6/23/2017
B
Puerto Rico 2/20/2019
B
Idaho 8/4/2020
B
Rhode Island 2/20/2019
B
Illinois 2/20/2019
B
South Carolina 2/20/2019
B
Indiana 2/20/2019
B
South Dakota 2/20/2019
B
Iowa 5/25/2022
B
Tennessee 1/3/2012
B
Kansas 12/6/2021
B
Texas 2/20/2019
B
Kentucky 5/25/2022
IA
Texas 3/11/2020
B
Louisiana 5/25/2022
B
Utah 2/20/2019
B
Maine 5/25/2022
B
Vermont 5/25/2022
B
Maryland 5/25/2022
B
Virgin Islands 5/25/2022
B
Massachusetts 3/11/2019
B
Virginia 5/25/2022
B
Michigan 5/25/2022
B
Washington 2/20/2019
B
Minnesota 2/20/2019
B
West Virginia 5/25/2022
B
Mississippi 2/20/2019
B
Wisconsin 2/20/2019
B
Missouri 2/27/2020
B
Wyoming 5/7/2014
B
Montana 6/15/2021
SRO Registrations
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B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/08/1997 - 06/01/2009 | NEWPORT BEACH, CA | |
B | 09/25/1995 - 06/01/2009 | NEWPORT BEACH, CA | |
B | 05/20/1986 - 10/02/1995 | ||
B | 07/20/1983 - 10/02/1995 | WEEHAWKEN, NJ | |
B | 11/15/1984 - 05/05/1986 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.