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RR

Russell A. Ruffino

AEL FINANCIAL SERVICES
League City, TX 77573
Some features on this profile are disabled
CRD#: 2486600
RR

Professional summary


Russell Anthony Ruffino, who also goes by Russ Ruffino, is a registered financial professional currently at AEL FINANCIAL SERVICES, LLC located in League City, Texas.

Russell is registered as a RR (Registered Representative) and started their career in finance in 1994. Russell has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer


Are you a "fiduciary"?
No

Aliases


Russ Ruffino

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) - BD


Click below to view Russell Anthony Ruffino'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®
None

Experience


Current

May 13, 2026 - Present

AEL FINANCIAL SERVICES, LLC

Office #1: 2525 South Shore Blvd., League City, TX 77573
BD
CRD#: 300285
League City, TX
Past

May 30, 2018 - January 27, 2026

ANICO FINANCIAL SERVICES, INC.

BD
CRD#: 158883
GALVESTON, TX
Past

October 17, 2014 - September 29, 2016

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

June 28, 2013 - August 27, 2014

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
HOUSTON, TX
Past

July 29, 2002 - June 28, 2013

AMERICAN GENERAL DISTRIBUTORS, INC.

BD
CRD#: 37449
HOUSTON, TX
Past

December 5, 2001 - May 13, 2002

BNY MELLON SECURITIES LLC

BD
CRD#: 47268
JERSEY CITY, NJ
Past

October 2, 1995 - December 5, 2001

CONSECO SECURITIES, INC.

BD
CRD#: 29367
CARMEL, IN
Past

July 14, 1994 - September 20, 1995

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

July 14, 1994 - September 20, 1995

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

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: 10/21/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA

Current Firm


AF
AEL FINANCIAL SERVICES, LLC
AEL FINANCIAL SERVICES, LLC | LOCKTON CAPITAL, LLC | LOCKTON CAPITAL MARKETS | LOCKTON CAPITAL ADVISORS, LLC

CRD#: 300285 / SEC#: , 8-70298

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information


Main Address
2101 Rexford Road Suite 310, Charlotte, NC 28211
Mailing Address
2101 Rexford Road Suite 310, Charlotte, NC 28211
Phone number
(515) 443-3527
Established
North Carolina since 07/13/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (37 States and Territories)


Documents


Direct owners and executive officers


NamePositionCRD#
NC SECURITIES HOLDCO, LLCPARENT CO
ALBERTI, GREGORY MICHAELPRINCIPAL/VICE PRESIDENT5023476
BAILEY, ELIZABETH EILEENCOO/CCO4154255
HAYES, SUSAN ANNCFO/FINOP2856326

Red Flags


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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information


AEL FINANCIAL SERVICES, LLC

CRD#: 300285League City, TX 77573

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