Ruben Ojeda
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 Ojeda, who also goes by Ruben Ojeda-cardenas, was a registered financial professional .
Ruben is a previously registered financial professional and started their career in finance in 2003. Ruben had worked at 6 firms and has passed the Series 66, SIE, Series 3 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 7, 2019 - January 27, 2020
EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.
August 7, 2019 - January 27, 2020
EFG CAPITAL INTERNATIONAL
October 8, 2009 - November 6, 2018
VIEW CAPITAL RIA, LP
October 5, 2009 - June 29, 2018
VCA SECURITIES, LP
July 25, 2006 - March 18, 2009
WELLS FARGO INVESTMENTS, LLC
July 25, 2006 - March 18, 2009
WELLS FARGO INVESTMENTS, LLC
November 11, 2003 - April 25, 2006
UBS INTERNATIONAL INC.
October 14, 2003 - April 25, 2006
UBS INTERNATIONAL INC.
Primary Firm SEC Registration
EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.
CRD#: 158905 / SEC#: 801-72773
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
EFG PRIVATE WEALTH MANAGEMENT (AMERICAS) CORP.
CRD#: 158905 / SEC#: 801-72773
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 678 |
| AUM (Assets Under Management) | $ 1,915,401,213 |
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.
