Individual Firm
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WILLIAM RAE RUTTER
WILLIAM RUTTER
CRD#: 4611011
IA
B
VOYA FINANCIAL ADVISORS, INC.CRD#: 2882 KNOXVILLE, TN
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3/25/2008
Customer Dispute
Denied
State Registrations
B
Florida 1/3/2014
B
Tennessee 12/20/2011
B
Kentucky 1/29/2014
IA
Tennessee 1/19/2012
B
North Carolina 12/9/2011
B
West Virginia 1/3/2017
B
South Carolina 1/2/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/15/2010 - 01/03/2011 | KNOXVILLE, TN | |
B | 09/28/2010 - 11/22/2010 | KNOXVILLE, TN | |
B | 01/08/2008 - 11/04/2008 | MEMPHIS, TN | |
IA | 02/14/2003 - 10/05/2007 | KNOXVILLE, TN | |
B | 01/15/2003 - 10/05/2007 | KNOXVILLE, TN |
KNOXVILLE, TN
01/15/2003 - 10/05/2007
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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.