Ruben S. Sanchez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ruben Sean Sanchez was a registered financial professional .
Ruben is a previously registered financial professional and started their career in finance in 2000. Ruben had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2003 - March 21, 2013
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
March 20, 2000 - December 19, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
February 21, 2000 - December 19, 2003
IDS LIFE INSURANCE COMPANY
February 21, 2000 - December 19, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
CRD#: 7834 / SEC#: , 8-22992
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
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.
