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Current Employers
Gould Ruma Financial Advisors

3231 Central Park West Suite 211, Toledo, OH 43617 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2024-10-31
  • OH RA
    APPROVED
    Since 2024-10-31

Branch Locations

3231 Central Park West, Suite 211, Toledo, OH 43617 • United States

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2023-12-26
  • OH RA
    APPROVED
    Since 2023-12-26

Branch Locations

3231 Central Park W. Dr. #211, Toledo, OH 43617-3008 • 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
The Huntington Investment Co. Columbus OH 05/2012 02/2017
Lpl Financial, Llc Toledo OH 03/2017 Present
Gould Ruma Financial Advisors, Llc Toledo OH 03/2017 Present
  • 05/2012 → 02/2017
    The Huntington Investment Co.
    Columbus, OH
  • 03/2017 → Present
    Toledo, OH
  • 03/2017 → Present
    Gould Ruma Financial Advisors, Llc
    Toledo, OH
Other Businesses

1) 02/03/2017 - GOULD RUMA FINANCIAL ADVISORS - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 03/01/2017 - 160 hr/mth 2) 04/07/2017 - GOULD RUMA FINANCIAL ADVISORS - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 1/26/2016 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 50% - I provide administrative support to GOULD RUMA FINANCIAL ADVISORS, an independent investment advisor firm. I started this business activity in April, 2017. I expect to spend approximately 50% of time spent per month on this activity. Please see the advisory firm Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. 3) 01/05/2023 - Gould Ruma Financial Advisors - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date: 01/02/2023 - 2 Hours Per Month/2 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-12-22
  • S66 Uniform Combined State Law Examination
    2023-12-22
Other Names
  • Colleen Renee Mihaly

View on SEC IAPD

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