Sonia RuizCRD Number: 5432287
Current Firm: Wells Fargo Clearing Services, LLC
Sonia Ruiz (CRD# 5432287) is an Investment Advisor Representative working at Wells Fargo Clearing Services, LLC in Mcallen, TX and has over 9 years of experience in the finance industry.
Geneos Wealth Management, Inc.
Evans Financial Planning, Inc.
Securities America Advisors, Inc.
|Wells Fargo Advisors, LLC||San Antonio, TX||Mar 2014 - Current||4|
|J.p. Morgan Securities LLC||Mcallen, TX||Oct 2012 - Mar 2014||1|
|Jpmorgan Chase Bank Na||Mcallen, TX||Aug 2006 - Oct 2012||6|
|T-moble||Mcallen, TX||Mar 2005 - Aug 2006||1|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Jul 2008|
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:
- Criminal Record
Total Assets Under Management409,716MILLIONS
Total Number of Accounts1,359,521ACCOUNTS
Average Account Value$301,368
- 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)
AK, AL, AR, AZ, 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, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY