Ruben R. Morfin

PRIVATE PORTFOLIO

BONITA, CA

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CRD#: 5281687

Professional summary

Ruben Ramirez Morfin is a registered financial advisor currently at PRIVATE PORTFOLIO, INC. located in Bonita, California.

Ruben is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Ruben has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

*574327- Media Arts Center San Diego; Investment related: No; San Diego, California; Children/Youth, Education, Art/Culture; Board Member, Finance Committee (proprietor, partner, officer, director, employee, trustee, agent); 01/2023; During business hours: 1; After business hours: 4; General guidance and advice to management -- NO financial advice or decision-making on finances.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ruben Ramirez Morfin's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Ruben Ramirez Morfin's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 6, 2024 - Present

PRIVATE PORTFOLIO, INC.

Office #2: 7816 Ivanhoe Ave. Ste #10, La Jolla, CA 92037

RIA

CRD#: 36644

BONITA, CA

Current

September 6, 2024 - Present

PRIVATE PORTFOLIO, INC.

Office #1: 7816 Ivanhoe Ave. Ste #10, La Jolla, CA 92037

RIA

CRD#: 36644

La Jolla, CA

Past

June 1, 2009 - September 12, 2024

MORGAN STANLEY

RIA

CRD#: 149777

San Diego, CA

Past

June 1, 2009 - September 12, 2024

MORGAN STANLEY

CRD#: 149777

San Diego, CA

Past

March 28, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SAN DIEGO, CA

Past

March 19, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SAN DIEGO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(9/6/2024)

IAR

California
(9/6/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/27/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/16/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PRIVATE PORTFOLIO, INC.

PRIVATE BROKERAGE | PRIVATE PORTFOLIO, INC. | PRIVATE PORTFOLIO OF SAN DIEGO, INC. | PRIVATE PORTFOLIO OF SAN DIEGO

CRD#: 36644 / SEC#: 801-69346, 8-47421

RIA

Registered Investment Advisory firm - SEC (8/27/2012 Terminated)

Arizona

Registered Investment Advisory firm - SEC (11/14/2022 Terminated)

California

Registered Investment Advisory firm - SEC (4/3/2012 Approved)

Florida

Registered Investment Advisory firm - SEC (6/14/2012 Approved)

Pennsylvania

Registered Investment Advisory firm - SEC (12/9/2014 Terminated)

Texas

Registered Investment Advisory firm - SEC (7/7/2014 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

7816 Ivanhoe Ave Ste 10, La Jolla, CA 92037

Mailing Address

7816 Ivanhoe Ave Ste 10, La Jolla, CA 92037-4535

Phone number

(858) 551-2071

Established

California since 05/18/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (12 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
BARBA, DANIEL	VICE PRESIDENT, SOLE OWNER	1348124
TOVAR, EDUARDO P JR	PRESIDENT, CHIEF COMPLIANCE OFFICER	2349510
VONBERTRAB, HERMANN SCHOTT	VICE PRESIDENT

Regulatory assets under management

Total Number of Accounts	93
AUM (Assets Under Management)	$ 91,500,000

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Ruben R. Morfin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ruben Ramirez Morfin's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Ruben Ramirez Morfin's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE PORTFOLIO, INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/27/2007

SIE

Date: 10/1/2018

Series 7

Date: 3/16/2007

FINRA

Current Firm

PRIVATE PORTFOLIO, INC.

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

PRIVATE PORTFOLIO, INC.

TRUST BUT VERIFY

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