John Ruff (CRD# 1254423) is an Investment Advisor Representative working at Naples Asset Management Company, LLC in Naples, FL and has over 34 years of experience in the finance industry.
CRD# 4670011
Riverglades Family Offices, LLC
Score
103
CRD# 6336284
Independent Financial Partners
Score
100
CRD# 5864610
Aci Wealth Advisors
Score
100
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Naples Ais, Inc. | Estero, FL | Sep 2008 - Current | 9 |
| Ubs Financial Services Inc. | New York, NY | Feb 2007 - Sep 2008 | 1 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Apr 1984 |
| S66 | NASAA Uniform Combined State Law Examination | Nov 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
- FL
- OH
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Total Assets Under Management207MILLIONS
-
Total Number of Accounts546ACCOUNTS
-
Average Account Value$378,287
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
CA, CO, FL, GA, IA, ME, MS, NC, NJ, NV, NY, OH, OR, SC, TX
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