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BR

Benjamin Ruiz

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CRD#: 2634016
BR

Professional summary

Benjamin Ruiz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Benjamin is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Benjamin had worked at 3 firms, which includes BILTMORE SECURITIES INC., GKN SECURITIES CORP., GRUNTAL & CO. L.L.C..

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 22, 1997 - August 28, 1998

BILTMORE SECURITIES, INC.

BD
CRD#: 25023
FT. LAUDERDALE, FL
Past

March 11, 1996 - August 5, 1997

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

September 21, 1995 - March 21, 1996

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY

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: 10/11/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/1995
General Securities Representative Examination

Current Firm

BS
BILTMORE SECURITIES, INC.
BILTMORE SECURITIES, INC | MIDAS INVESTMENT GROUP, INC. | BILTMORE SECURITIES, INC.

CRD#: 25023 / SEC#: , 8-41567

BD
Terminated by SEC on 01/16/1999
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 07/03/1989
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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

BILTMORE SECURITIES, INC.

CRD#: 25023

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