Mark R. Ruggles
Professional summary
Mark Ryan Ruggles is a registered financial advisor currently at CWS INVESTMENTS located in Newport Beach, California and CWS CAPITAL PARTNERS LLC located in Newport Beach, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Mark has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 14, Series 27, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Ryan Ruggles's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 30, 2013 - Present
CWS INVESTMENTS
Office #1: 14 Corporate Plaza Ste. 210, Newport Beach, CA 92660February 20, 2015 - Present
CWS CAPITAL PARTNERS LLC
Office #1: 14 Corporate Plaza Ste. 210, Newport Beach, CA 92660September 27, 2012 - Present
CWS INVESTMENTS
Office #1: 14 Corporate Plaza, Suite 210, Newport Beach, CA 92660June 16, 2010 - October 3, 2012
GRAHAM & CO. ADVISORY, INC.
February 9, 2010 - September 24, 2012
B.B. GRAHAM & COMPANY, INC.
August 11, 2008 - September 24, 2012
B.B. GRAHAM & COMPANY, INC.
April 7, 2008 - July 31, 2008
SHOPOFF SECURITIES, INC.
August 1, 2007 - April 4, 2008
IFMG SECURITIES, INC.
May 23, 2006 - October 19, 2007
DFC INVESTOR SERVICES
July 25, 2002 - May 22, 2006
WAMU INVESTMENTS, INC.
March 15, 1996 - August 20, 2002
E-W INVESTMENTS, INC.
October 16, 1995 - December 21, 1995
H.J. MEYERS & CO., INC.
September 8, 1995 - October 18, 1995
INVESTORS ASSOCIATES, INC.
Primary Firm SEC Registration
CWS CAPITAL PARTNERS LLC
CRD#: 166871 / SEC#: 801-107474
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/8/2020)
(9/27/2012)
(8/30/2013)
(1/8/2020)
(1/8/2020)
(8/28/2024)
(1/8/2020)
(1/8/2020)
(1/8/2020)
(1/8/2020)
(1/8/2020)
(1/8/2020)
(10/26/2021)
(9/24/2013)
(1/8/2020)
(1/8/2020)
(1/8/2020)
(1/8/2020)
(1/8/2020)
(1/8/2020)
(1/3/2025)
(8/29/2013)
(1/8/2020)
(1/8/2020)
(1/8/2020)
(1/8/2020)
(1/8/2020)
(5/1/2018)
(1/8/2020)
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(1/8/2020)
(1/8/2020)
(1/9/2021)
(1/8/2020)
(1/8/2020)
(1/8/2020)
(1/8/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CWS CAPITAL PARTNERS LLC
CRD#: 166871 / SEC#: 801-107474
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 293,170,929 |
Red Flags
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