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RU

Ruben D. Urena

SABADELL SECURITIES USA
Miami, FL 33131
Some features on this profile are disabled
CRD#: 3187464
RU

Professional summary

Ruben D Urena, who also goes by Ruben Urena, is a registered financial professional currently at SABADELL SECURITIES USA, INC. located in Miami, Florida.

Ruben is registered as a RR (Registered Representative) and started their career in finance in 1999. Ruben has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 6, Series 24 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ruben Urena

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) - BD

Click below to view Ruben D Urena'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

October 18, 2012 - Present

SABADELL SECURITIES USA, INC.

Office #1: 1111 Brickell Avenue 30th Floor, Miami, FL, 33131
BD
CRD#: 148137
Miami, FL
Past

November 16, 2005 - November 3, 2011

SANTANDER INTERNATIONAL SECURITIES, INC.

BD
CRD#: 131165
NEW YORK, NY
Past

October 20, 2004 - September 15, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

February 26, 2001 - October 20, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

April 26, 1999 - December 20, 2000

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(10/18/2012)
RR
Virginia
(11/19/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 4/26/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 10/5/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/23/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/23/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/18/2004
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/16/2003
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SABADELL SECURITIES USA, INC.
SABADELL SECURITIES USA | SABADELL SECURITIES USA, INC.

CRD#: 148137 / SEC#: 801-71763, 8-67975

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1111 Brickell Avenue 30th Floor 30th Floor, Miami, FL, 33131
Mailing Address
1111 Brickell Avenue 30th Floor, Miami, FL, 33131
Phone number
(786) 587-1603
Established
Florida since 05/23/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BANCO SABADELL, SAPARENT
DINAMARCA, RUBEN ANDRESCOO6201999
FERNANDEZ, JULIAN VALENTINDIRECTOR6138371
LABISTE, VIRGINIAPRESIDENT/ CEO5654675
RODRIGUEZ, GLORIA MCCO5179878
SINGER, STEVEN FREDERICFINOP/ CFO2360737
TORRAS, JORDIMEMBER OF BOARD OF DIRECTORS6547780
VILLOLDO, JORGE PATRICKDIRECTOR4370481

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

SABADELL SECURITIES USA, INC.

CRD#: 148137Miami, FL 33131

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