Manuel Ruiz

COMPASS PRIVATE WEALTH GROUP LLC

Short Hills, NJ 07078

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CRD#: 3139277

Professional summary

Manuel Ruiz, who also goes by Manuel Ruz, is a registered financial advisor currently at COMPASS PRIVATE WEALTH GROUP LLC located in Short Hills, New Jersey.

Manuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Manuel has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Manuel Ruz

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.

1) Licensed insurance professional; same address; Not investment-related; less than 10% of time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Manuel Ruiz's CRS (Customer Relationship Summary).

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

November 10, 2021 - Present

COMPASS PRIVATE WEALTH GROUP LLC

Office #1: 51 Jfk Parkway 1st Fl W, Suite 107, Short Hills, NJ 07078

RIA

CRD#: 316785

Short Hills, NJ

Past

September 21, 2018 - November 5, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

FLORHAM PARK, NJ

Past

September 19, 2018 - November 5, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

FLORHAM PARK, NJ

Past

January 24, 2014 - September 27, 2018

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

EDISON, NJ

Past

January 22, 2014 - September 27, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

EDISON, NJ

Past

April 24, 2012 - January 14, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NORTH BRUNSWICK, NJ

Past

March 30, 2012 - January 14, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NORTH BRUNSWICK, NJ

Past

February 18, 1999 - December 8, 1999

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

COMPASS PRIVATE WEALTH GROUP LLC

CRD#: 316785 / SEC#: 801-132197

RIA

Registered Investment Advisory firm - (4/2/2025 Approved)

New Jersey

Registered Investment Advisory firm - (5/7/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(11/10/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/20/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/17/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/25/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/29/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/25/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

COMPASS PRIVATE WEALTH GROUP LLC

CRD#: 316785 / SEC#: 801-132197

RIA

Registered Investment Advisory firm - (4/2/2025 Approved)

New Jersey

Registered Investment Advisory firm - (5/7/2025 Terminated)

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Contact information

Main Address

51 Jfk Parkway 1st Fl W, Suite 107, Short Hills, NJ 07078

Mailing Address

Phone number

(908) 615-2249

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CPW DISCLOSURE BROCHURE, BROCHURE SUPPLEMENTS, AND PRIVACY POLICY (3/7/2025)

Regulatory assets under management

Total Number of Accounts	272
AUM (Assets Under Management)	$ 100,799,080

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.

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Advisor Monitoring

Firm Stability Insights

Manuel Ruiz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Manuel Ruiz's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

COMPASS PRIVATE WEALTH GROUP LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/20/2012

Series 63

Date: 11/17/1998

Series 7TO

Date: 3/25/2024

SIE

Date: 10/1/2018

Series 7

Date: 3/29/2012

Series 6

Date: 1/25/1999

Current Firm

COMPASS PRIVATE WEALTH GROUP LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COMPASS PRIVATE WEALTH GROUP LLC

TRUST BUT VERIFY

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