Joyce Nina
Professional Summary
Joyce Nina, who also goes by Joyce Ruiz, is a registered financial advisor currently at FRANKLIN DISTRIBUTORS, LLC located in Miami, Florida. Joyce is registered as a RR (Registered Representative) and started their career in finance in 2007. Joyce has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joyce Ruiz
Similar Advisors
SUMMIT FINANCIAL, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SUMMIT FINANCIAL, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SUMMIT FINANCIAL, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
SUMMIT FINANCIAL, LLC
Years of Experience
19 years in the financial services industry
Current & Past Employments
Similar Advisors
SUMMIT FINANCIAL, LLC
Current Firm
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC
Contact Information
Main Address
One Franklin Parkway, San Mateo, CA 94403Mailing Address
1201 Wills Street, Baltimore, MD 21231Phone Number
(800) 632-2350Established
Delaware since 12/01/2000Firm Type
Limited Liability CompanyFiscal Year End
SeptemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
1Similar Advisors
SUMMIT FINANCIAL, LLC
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.
Similar Advisors
SUMMIT FINANCIAL, LLC
State Registrations and Notice Filings
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(8/6/2014)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/9/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/6/2022)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
(1/2/2015)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2007About the Series 6 examSRO Registrations
Similar Advisors
SUMMIT FINANCIAL, LLC
CRS (Client Relationship Summary) - BD
Click below to view Joyce Nina's CRS (Customer Relationship Summary).
Similar Advisors
SUMMIT FINANCIAL, LLC
