Michael P. 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.
Michael Paul Ruiz, who also goes by Michael Ruiz, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2005. Michael had worked at 7 firms and has passed the Series 66, SIE 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
October 4, 2017 - February 12, 2019
AK FINANCIAL GROUP
September 2, 2015 - September 5, 2017
PFG ADVISORS
August 31, 2015 - December 31, 2018
LPL FINANCIAL LLC
September 8, 2010 - June 8, 2015
CITY NATIONAL SECURITIES, INC.
September 7, 2010 - June 8, 2015
CITY NATIONAL SECURITIES, INC.
May 2, 2009 - August 23, 2010
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - August 23, 2010
CHASE INVESTMENT SERVICES CORP.
March 10, 2009 - May 2, 2009
WAMU INVESTMENTS, INC.
March 9, 2009 - May 2, 2009
WAMU INVESTMENTS, INC.
October 7, 2005 - March 17, 2009
UBS FINANCIAL SERVICES INC.
September 22, 2005 - March 17, 2009
UBS FINANCIAL SERVICES INC.
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
AK FINANCIAL GROUP
CRD#: 130338 / SEC#: 801-122138
Contact information
Regulatory assets under management
| Total Number of Accounts | 463 |
| AUM (Assets Under Management) | $ 148,320,933 |
Red Flags
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