Rosanna M. Ruiz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rosanna Mary Ruiz, who also goes by Rosanna Mary Joseph, Rosanna M Ruiz, was a registered financial professional .
Rosanna is a previously registered financial professional and started their career in finance in 2003. Rosanna had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2012 - August 9, 2012
INVESTMENTS BY PLANNERS, INC.
December 8, 2009 - May 20, 2010
IAA FINANCIAL LLC
February 16, 2005 - May 12, 2008
NEWBRIDGE SECURITIES CORPORATION
November 21, 2003 - February 3, 2005
KOVACK SECURITIES INC.
May 1, 2003 - September 24, 2003
ADVEST, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INVESTMENTS BY PLANNERS, INC.
CRD#: 19836 / SEC#: 801-54838, 8-37856
Contact information
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
