Miguel J. 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.
Miguel Jose Ruiz, who also goes by Miguel Ruiz, was a registered financial professional .
Miguel is a previously registered financial professional and started their career in finance in 1994. Miguel had worked at 6 firms and has passed the Series 63, Series 3, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2016 - January 28, 2026
JANE STREET EXECUTION SERVICES, LLC
July 14, 2016 - January 28, 2026
JANE STREET CAPITAL, LLC
April 19, 2016 - July 12, 2016
QUATTRO M SECURITIES INC.
October 4, 2013 - September 10, 2014
COWEN EXECUTION SERVICES LLC
August 24, 2012 - September 25, 2013
XP INVESTMENTS US, LLC
August 4, 2004 - November 25, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 1994 - February 14, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/5/2002
Limited Representative-Equity Trader ExamCurrent Firm
JANE STREET EXECUTION SERVICES, LLC
CRD#: 167280 / SEC#: , 8-69254
Contact information
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JANE STREET GROUP, LLC | MEMBER | |
| BELLIOTTI, ANGELO | CHIEF COMPLIANCE OFFICER | 6617066 |
| BERGER, MATTHEW ROBERT | OPERATING COMMITTEE MEMBER | 4714455 |
| HARRISON, MARIE ELIZABETH | PRINCIPAL FINANCIAL OFFICER | 4621035 |
| ROY, ANDREAS TORBJOERN | OPERATING COMMITTEE MEMBER/PRESIDENT | 6344770 |
| WALSH, PATRICK J. | PRINCIPAL OPERATIONS OFFICER | 4786045 |
| ZGALJIC, DAVOR | OPERATING COMMITTEE MEMBER | 4819565 |
Red Flags
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