Ruben A. Cruz
Professional summary
Ruben A Cruz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ruben is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, Ruben had worked at 2 firms, which includes WAMU INVESTMENTS INC., CHASE INVESTMENT SERVICES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2007 - May 17, 2007
WAMU INVESTMENTS, INC.
January 9, 2006 - September 19, 2006
CHASE INVESTMENT SERVICES CORP.
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
WAMU INVESTMENTS, INC.
CRD#: 599 / SEC#: , 8-3641
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC. | DIRECT OWNER | |
| CECILIO, ROBERT MARC | DIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 1539928 |
| CHABOT, ALAN JAMES | DIRECTOR | 2617874 |
| HENRY, J. CHRISTOPHER | DIRECTOR | 5591455 |
| PERSONS, AARON MATTHEW | FIRST VICE PRESIDENT | 2216151 |
| RHEE, LISA HAMMOND | FINOP | 3251733 |
| WILBURN, DOUGLAS FREDERICK | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 18 |
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.
