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James Riley Ruddy

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Northbrook, IL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-02-15
IL RA APPROVED 2022-07-06
  • TX RA
    APPROVED
    Since 2023-02-15
  • IL RA
    APPROVED
    Since 2022-07-06

Branch Locations

1033 Skokie Blvd, Northbrook, IL 60062 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Northbrook IL 07/2020 Present
Glenview Park Golf Club Glenview IL 06/2019 08/2019
Pima Community College Tucson AZ 08/2018 05/2020
University Of Arizona Tucson AZ 08/2014 06/2018
Bank Of America, N.A. Northbrook IL 06/2022 Present
  • 07/2020 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Northbrook, IL
  • 06/2019 → 08/2019
    Glenview Park Golf Club
    Glenview, IL
  • 08/2018 → 05/2020
    Pima Community College
    Tucson, AZ
  • 08/2014 → 06/2018
    University Of Arizona
    Tucson, AZ
  • 06/2022 → Present
    Bank Of America, N.A.
    Northbrook, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-07-05
  • S66 Uniform Combined State Law Examination
    2022-07-05
Other Names
  • Jimmy Ruddy
  • Jim Ruddy

View on SEC IAPD

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Other Investors

KEVIN J TAALMAN
BRIAN ADAM ROSEN
MATTHEW S MEYER
YAKOV MOSHE BAYLIS
WENDY FELICIA JACOBSON-ROSEN
WALTER WALEED COSMO
Charles Louis Rosen
JAY MICHAEL RUBINSTEIN

Other Offices

ALLSTATE FINANCIAL ADVISORS, LLC · Northbrook, IL
RITHOLTZ WEALTH MANAGEMENT · Northbrook, IL
SHARP CIRCLE CONSULTING, LLC · NORTHBROOK, IL
DDS INVESTMENT MANAGEMENT, INC. · NORTHBROOK, IL
LPL ENTERPRISE, LLC · NORTHBROOK, IL
SHARP CIRCLE CONSULTING, LLC · NORTHBROOK, IL
OSAIC WEALTH, INC. · NORTHBROOK, IL
E. A. HORWITZ LLC · DEERFIELD, IL

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