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275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2003-08-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Self Employed | Vernon | CT | 04/1979 | Present |
| Commonwealth Equity Services, Inc. | Vernon | CT | 03/1985 | Present |
1. Ruchin & Associates, LLC, as insurance agent selling fixed insurance products, spends 20% of time during market hours, conducted at branch, investment related. 2. Ruchin & Associates, LLC, owner of private entity created as operating company for securities, investment advisory and insurance business, conducted at branch, spends 100% of time during market hours, conducted at branch, investment related. 3. Ruchin & Associates, LLC, providing tax preparation services, spends 35% of time, conducted at branch, not investment related. 4. FINRA Arbitrator, located in Vernon, CT, as of 02/07/2023 Approximately 2% time spent during business hours; Not conducted at branch location; Not investment related.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-14 |
| S63 | Uniform Securities Agent State Law Examination | 1992-02-10 |
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