Tracy Klem Ruddle
Investment Adviser Representative at Captrust
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Tracy Klem Ruddle is an investment adviser representative with Captrust in Wichita, KS, where they have been registered since 2022. They have worked in the securities industry since 2001 and have been registered with 3 firms, including Frontier Wealth Management, LLC and UBS Financial Services Inc. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Kansas.
Office
Advisors at this office: 7
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Kansas
- Broker:
1 state or territory
Kansas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Frontier Wealth Management LLCApr 2015 – Jul 2022Wichita, KS
- Purshe Kaplan Sterling InvestmentsMar 2017 – Aug 2022Albany, NY
- CapFinancial Partners, LLC (CAPTRUST)Jul 2022 – no end date reportedRaleigh, NC
- CapFinancial Securities, LLCJul 2022 – no end date reportedRaleigh, NC
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Captrust
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Performance-based fees
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 943
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Raleigh, NC
- SEC file number:
- 801-62193
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 30, 2026
View full firm profileOther advisors at Captrust
Showing 12 of 943 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Tracy Klem Ruddle has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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