William Ruffin
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.
William Ruffin, who also goes by William Mccauley Ruffin Jr, William Mccauley Ruffin, William Mccauley Ruffin Jr, William Ruffin Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1997. William had worked at 13 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2023 - September 2, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
May 3, 2021 - October 14, 2022
WEDBUSH SECURITIES INC.
March 16, 2021 - April 12, 2021
MML INVESTORS SERVICES, LLC
July 27, 2020 - September 11, 2020
SECURITIES AMERICA, INC.
May 31, 2018 - September 17, 2018
PACTOLUS CAPITAL PARTNERS
May 6, 2016 - June 30, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
December 17, 2015 - March 2, 2016
UBS FINANCIAL SERVICES INC.
May 27, 2015 - October 12, 2015
KESTRA INVESTMENT SERVICES, LLC
June 4, 2014 - January 7, 2015
SII INVESTMENTS, INC.
June 1, 2009 - October 28, 2013
MORGAN STANLEY
December 10, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 8, 2002 - March 11, 2004
CITIGROUP GLOBAL MARKETS INC.
January 12, 2001 - April 19, 2001
LEGG MASON WOOD WALKER, INCORPORATED
January 28, 1998 - March 1, 1999
LARA, SHULL & MAY, LTD
March 12, 1997 - November 19, 1997
GROVE POINT INVESTMENTS, LLC
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 |
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.
