GR
Gonzalo A. Ruiz
SAFRA SECURITIES LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 1889804
GR
Professional summary
Gonzalo Angel Ruiz is a registered financial professional currently at SAFRA SECURITIES LLC located in Miami, Florida.
Gonzalo is registered as a RR (Registered Representative) and started their career in finance in 1988. Gonzalo has worked at 7 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
COMPANY NAME: OCEAN BANK; COMPANY LOCATION: MIAMI FL; NON-INVESTMENT RELATED; PURPOSE OF BUSINESS: BANKING; HIRED DATE: 03/2008; POSITION: SVP & RELATIONSHIP MANAGER; APPROX NUMBER OF HOURS PER MONTH 140H, APPROX NUMBER OF HOURS DURING SECURITIES TRADING 120H COMPANY NAME: LIVE SALTY LLC ; COMPANY LOCATION; MIAMI FL; NON-INVESTMENT RELATED; PURPOSE OF BUSINESS: ENTITY TO HOLD MY BOAT WHICH MY BROTHER-IN-LAW WILL CHARTER AS A FISHING CHARTER; HIRED DATE: 06/2018; POSITION: MANAGER; ; APPROX NUMBER OF HOURS PER MONTH 10H COMPANY NAME: OCEAN FINANCIAL ADVISORS,LLC; COMPANY LOCATION: MIAMI FL; INVESTMENT RELATED; PURPOSE OF BUSINESS: ADVISORY SERVICES; HIRE DATE: 03/29/2019; POSITION: FINANCIAL ADVISER; APPROX NUMBER OF HOURS PER MONTH 50H
CRS (Client Relationship Summary) - BD
Click below to view Gonzalo Angel Ruiz's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 19, 2024 - Present
SAFRA SECURITIES LLC
Office #1: 1221 Brickell Avenue Suite 500, Miami, FL 33131BD
CRD#: 47873
Miami, FL
Past
March 29, 2019 - August 29, 2024
OCEAN FINANCIAL ADVISORS LLC
RIA
CRD#: 291950
MIAMI, FL
Past
March 26, 2014 - August 29, 2024
OCEAN FINANCIAL SERVICES, LLC
BD
CRD#: 164289
MIAMI, FL
Past
July 29, 2002 - July 31, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 29, 2002 - July 31, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
May 10, 2001 - December 6, 2001
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
October 28, 1988 - December 31, 1998
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(9/19/2024)
RR
New York(9/19/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 9/19/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SAFRA SECURITIES LLC
SAFRA SECURITIES CORPORATION | SAFRA SECURITIES LLC
CRD#: 47873 / SEC#: , 8-51935
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
546 Fifth Ave, New York, NY 10036
Mailing Address
546 Fifth Ave, New York, NY 10036
Phone number
(212) 704-5500
Established
Delaware since 12/31/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAFRA NATIONAL BANK OF NEW YORK | SOLE SHAREHOLDER | |
| BONFIM, CARLOS CESAR BERTACO | DIRECTOR | |
| COLOMBO, RAFAELO | DIRECTOR | 6054935 |
| DIBIASI, ANTHONY | FINOP | 6435706 |
| GRUNWALD, MARK STEVEN | DIRECTOR & PRESIDENT | 3262204 |
| JAVIER, SIGMUND PETER | DIRECTOR | 6002619 |
| MCCARTHY, GERARD THOMAS | CHIEF COMPLIANCE OFFICER | 3121615 |
| MORATO, SIMONI PASSOS | DIRECTOR | 5568481 |
| OSWALD, THOMAS FRANCIS | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 1828798 |
| YOU, SANG MIN JIMMY | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6693855 |
Disclosures
| Regulatory Event | 2 |
| 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.
Company Information
SAFRA SECURITIES LLC
CRD#: 47873Miami, FL 33131TRUST BUT VERIFY
Monitor Gonzalo Ruiz
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
