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Tracy Klem Ruddle

Captrust

Wichita, KS

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Current Employers
Captrust

4208 Six Forks Rd Suite 1700, Raleigh, NC 27609 • United States

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2022-08-19
  • KS RA
    APPROVED
    Since 2022-08-19

Branch Locations

1625 N. Waterfront Pkwy., Ste 150, Wichita, KS 67206 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Frontier Wealth Management Llc Wichita KS 04/2015 07/2022
Purshe Kaplan Sterling Investments Albany NY 03/2017 08/2022
Capfinancial Partners, Llc (Captrust) Raleigh NC 07/2022 Present
Capfinancial Securities, Llc Raleigh NC 07/2022 Present
  • 04/2015 → 07/2022
    Frontier Wealth Management Llc
    Wichita, KS
  • 03/2017 → 08/2022
    Purshe Kaplan Sterling Investments
    Albany, NY
  • 07/2022 → Present
    Capfinancial Partners, Llc (Captrust)
    Raleigh, NC
  • 07/2022 → Present
    Capfinancial Securities, Llc
    Raleigh, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-05-20
  • S66 Uniform Combined State Law Examination
    2003-05-20
Designations
Other Names
  • Tracy Lee Klem
  • Tracy K Ruddle

View on SEC IAPD

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MARK THOMAS BOURGEOIS
ANDREW EDWIN BEVERSDORF
GARREN G TAYLOR
Alexander Ramon Carro
ALAINA ANNE STEVENS
Robert Shane Preble

Other Offices

LPL FINANCIAL LLC · WICHITA, KS
ACRYLIC FINANCIAL, INC. · Wichita, KS
LPL FINANCIAL LLC · WICHITA, KS
LPL FINANCIAL LLC · WICHITA, KS
EDWARD JONES · WICHITA, KS
EDWARD JONES · WICHITA, KS
LPL FINANCIAL LLC · WICHITA, KS
WICHITA WEALTH MANAGEMENT, LLC · WICHITA, KS

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