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AR

Armando Ruiz

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CRD#: 1865602
AR

Professional summary

Armando Ruiz was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Armando is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Armando had worked at 4 firms, which includes LEGEND TRADING LLC, LEGEND SECURITIES INC., UBS FINANCIAL SERVICES INC., LEHMAN BROTHERS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Armando Jr Ruiz | Armando Ruiz Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 30, 2009 - October 6, 2010

LEGEND TRADING, LLC

BD
CRD#: 150567
NEW YORK, NY
Past

July 14, 2008 - April 4, 2011

LEGEND SECURITIES, INC.

BD
CRD#: 44952
NEW YORK, NY
Past

February 1, 1993 - January 16, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

August 23, 1988 - February 11, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/24/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/11/2008
General Securities Representative Examination

Current Firm

LT
LEGEND TRADING, LLC
LEGEND TRADING, LLC

CRD#: 150567 / SEC#: , 8-68269

BD
Terminated by SEC on 04/05/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/19/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STOCKTRADE NETWORK INC.SHAREHOLDER
FUSCO, ANTHONYMANAGING MEMBER, PRINCIPAL2704753
MILLER, JOHN STEVENSONFINOP2139980
SERCIA, ANTHONY FRANKCOMPLIANCE OFFICER2067424

Disclosures

Regulatory Event7

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.

Company Information

LEGEND TRADING, LLC

CRD#: 150567

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