Roberto RuizCRD Number: 4502854
Current Firm: Ubs Financial Services Inc.
Roberto Ruiz (CRD# 4502854) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Mcallen, TX and has over 15 years of experience in the finance industry.
Evans Financial Planning, Inc.
Securities America Advisors, Inc.
Lpl Financial LLC
|Ubs Financial Services Inc.||Mcallen, TX||Nov 2014 - Current||2|
|Rr Platinum Investments LLC||Mcallen, TX||Mar 2011 - Current||6|
|J.p. Morgan Securities LLC||Mcallen, TX||Oct 2012 - Nov 2014||2|
|Chase Investments Services Corp||Dallas, TX||Dec 2004 - Oct 2012||7|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Apr 2002|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV