Jerry S. Ruiz
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.
Jerry Sixto Ruiz, who also goes by Jerry S. Ruiz, was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 2000. Jerry had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2014 - January 16, 2015
LAFISE SECURITIES LLC
September 27, 2002 - September 4, 2007
WELLS FARGO CLEARING SERVICES, LLC
May 15, 2002 - May 31, 2002
WELLS FARGO CLEARING SERVICES, LLC
October 12, 2000 - July 16, 2001
VANGUARD MARKETING CORPORATION
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
LAFISE SECURITIES LLC
CRD#: 115624 / SEC#: 801-129796, 8-53506
Contact information
FINRA licenses (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 736,018,633 |
Disclosures
| Regulatory Event | 2 |
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.
