Individual Firm
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JOSHUA LEVI RUGGLES
Joshua Ruggles
CRD#: 6348756
IA
B
CUSO FINANCIAL SERVICES, L.P.CRD#: 42132 1511 W CENTRE
PORTAGE, MI 49024
PORTAGE, MI 49024
0
Disclosures
9
Years of Experience
View By:
State Registrations
B
Arizona 7/30/2024
B
Kansas 7/30/2024
B
California 10/31/2024
B
Kentucky 6/26/2024
B
Colorado 10/31/2024
IA
Michigan 4/15/2024
B
Florida 6/26/2024
B
Michigan 5/15/2024
B
Illinois 7/30/2024
B
Ohio 6/26/2024
B
Indiana 6/26/2024
B
Wisconsin 6/26/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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Learn about permitted activities of registered principals
IA
Registered with this firm since 4/15/2024
B
Registered with this firm since 5/15/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/14/2023 - 05/17/2024 | KALAMAZOO, MI | |
IA | 04/05/2016 - 04/18/2023 | Kalamazoo, MI | |
B | 03/30/2015 - 04/18/2023 | GRAND RAPIDS, MI |
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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.