Jeffrey A. Ruiz
Professional summary
Jeffrey A Ruiz, who also goes by Jeffrey Alan Ruiz, is a registered financial professional currently at INTESA SANPAOLO IMI SECURITIES CORP. located in New York, New York.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1995. Jeffrey has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey A Ruiz's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 5, 2023 - Present
INTESA SANPAOLO IMI SECURITIES CORP.
Office #1: 1 William Street, New York, NY 10004January 13, 2001 - August 16, 2018
DEUTSCHE BANK SECURITIES INC.
July 8, 1997 - January 13, 2001
DB ALEX. BROWN LLC
May 10, 1995 - March 20, 1997
CIBC WORLD MARKETS CORP.
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
FINRA
Nasdaq Stock Market
New York Stock Exchange
Current Firm
INTESA SANPAOLO IMI SECURITIES CORP.
CRD#: 19418 / SEC#: , 8-37444
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IMI CAPITAL MARKETS USA CORPORATION | SOLE SHAREHOLDER | |
| AMOROSO, PAOLO GLAUCO | CORPORATE SECRETARY | 7870609 |
| BURIOLI, NOVELLA | DIRECTOR | 7874990 |
| DIBELLA, VINCENT | CHIEF FINANCIAL OFFICER/ TREASURER | 2587408 |
| LUCCHINI, STEFANO | DIRECTOR | 7889772 |
| MARRAS, STEFANO | CEO/DIRECTOR | 7322813 |
| PARISI, RICHARD ANTHONY | CHIEF OPERATIONS OFFICER | 4668388 |
| RUIZ, JEFFREY A | CHIEF COMPLIANCE OFFICER | 2562825 |
| SEGNI, LAURA | DIRECTOR | 7890924 |
Disclosures
| Regulatory Event | 11 |
| Criminal | 1 |
| Civil Event | 1 |
Red Flags
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