PR
PR
Paul Ruane
36 Years of Experience
Swans Island, ME
3 DisclosuresBroker
Paul Ruane is a registered investment advisor at Raymond James & Associates, INC., based in Swans Island, ME, with 36 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
Swans Island, ME
Get directionsHistory
Regulatory History (3)
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Customer Dispute
June 2015Denied
Customer Dispute
March 2008Settled
Customer Dispute
August 2005Closed-No Action
Employment History
Current Registrations
Raymond James & Associates, INC.
September 2016 - Present · 9 yrs 8 mos
Raymond James & Associates, INC.
September 2016 - Present · 9 yrs 8 mos
Raymond James & Associates, INC.Broker
September 2016 - Present · 9 yrs 8 mos
Previous Registrations
Deutsche Bank Securities INC.
December 2009 - September 2016 · 6 yrs 9 mos
Deutsche Bank Securities INC.Broker
March 2009 - September 2016 · 7 yrs 6 mos
UBS Financial Services INC.
February 2008 - April 2009 · 1 yr 2 mos
UBS Financial Services INC.Broker
October 2007 - April 2009 · 1 yr 6 mos
C.E. Unterberg, Towbin, LLC.Broker
July 1999 - August 2007 · 8 yrs 1 mo
Cibc World MarketsBroker
June 1995 - August 1999 · 4 yrs 2 mos
Alex. Brown & Sons IncorporatedBroker
September 1990 - June 1995 · 4 yrs 9 mos
Lehman Brothers INC.Broker
April 1989 - September 1990 · 1 yr 5 mos
State Registrations30 states
CACOCTDCDEFLGAIAILKYMAMDMEMIMTNCNHNJNMNYPARITXUTVAVTVirgin IslandsWAWIWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.