RR
Ricardo Ruiz
ALLIANZ LIFE FINANCIAL SERVICES
Minneapolis, MN 55416
Some features on this profile are disabled
CRD#: 4642299
RR
Professional summary
Ricardo Ruiz is a registered financial professional currently at ALLIANZ LIFE FINANCIAL SERVICES, LLC located in Minneapolis, Minnesota.
Ricardo is registered as a RR (Registered Representative) and started their career in finance in 2003. Ricardo has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Ricardo Ruiz's 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®
NoneExperience
Current
May 19, 2021 - Present
ALLIANZ LIFE FINANCIAL SERVICES, LLC
Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416BD
CRD#: 612
Minneapolis, MN
Past
July 6, 2020 - April 1, 2021
SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.
BD
CRD#: 148024
SUMMIT, NJ
Past
March 27, 2018 - March 29, 2020
P.J. ROBB VARIABLE, LLC
BD
CRD#: 38339
FARMINGTON, CT
Past
January 12, 2017 - March 5, 2018
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
October 21, 2014 - November 15, 2016
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
FARMINGTON, CT
Past
August 12, 2005 - September 12, 2014
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
SHELTON, CT
Past
August 18, 2003 - July 25, 2005
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
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
Alabama(4/1/2024)
RR
Alaska(4/1/2024)
RR
Arizona(4/1/2024)
RR
Arkansas(4/1/2024)
RR
California(4/1/2024)
RR
Colorado(4/1/2024)
RR
Connecticut(5/19/2021)
RR
Delaware(4/1/2024)
RR
District of Columbia(4/1/2024)
RR
Florida(4/1/2024)
RR
Georgia(4/1/2024)
RR
Hawaii(4/1/2024)
RR
Idaho(4/1/2024)
RR
Illinois(4/1/2024)
RR
Indiana(4/1/2024)
RR
Iowa(4/1/2024)
RR
Kansas(4/1/2024)
RR
Kentucky(4/1/2024)
RR
Louisiana(4/1/2024)
RR
Maine(4/1/2024)
RR
Maryland(4/1/2024)
RR
Massachusetts(4/1/2024)
RR
Michigan(5/26/2022)
RR
Minnesota(4/1/2024)
RR
Mississippi(4/1/2024)
RR
Missouri(4/1/2024)
RR
Montana(4/1/2024)
RR
Nebraska(4/1/2024)
RR
Nevada(4/1/2024)
RR
New Hampshire(4/1/2024)
RR
New Jersey(4/1/2024)
RR
New Mexico(4/1/2024)
RR
New York(4/1/2024)
RR
North Carolina(4/1/2024)
RR
North Dakota(4/1/2024)
RR
Ohio(4/2/2024)
RR
Oklahoma(4/1/2024)
RR
Oregon(4/1/2024)
RR
Pennsylvania(4/1/2024)
RR
Rhode Island(4/1/2024)
RR
South Carolina(4/1/2024)
RR
South Dakota(4/1/2024)
RR
Tennessee(4/1/2024)
RR
Texas(4/1/2024)
RR
Utah(4/1/2024)
RR
Vermont(4/1/2024)
RR
Virginia(4/1/2024)
RR
Washington(4/1/2024)
RR
West Virginia(4/1/2024)
RR
Wisconsin(4/1/2024)
RR
Wyoming(4/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AL
ALLIANZ LIFE FINANCIAL SERVICES, LLC
ALLIANZ LIFE FINANCIAL SERVICES, LLC | USALLIANZ INVESTOR SERVICES, LLC | NALAC FINANCIAL PLANS, LLC | NALAC FINANCIAL PLANS, INC.
CRD#: 612 / SEC#: , 8-13630
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
5701 Golden Hills Drive, Minneapolis, MN 55416-1297
Mailing Address
P O Box 1117, Minneapolis, MN 55440-1117
Phone number
(763) 765-6500
Established
Minnesota since 11/20/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory 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.
