Garrick G. Ruiz

AQUIFER ASSET MANAGEMENT

San Antonio, TX

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CRD#: 5584980

Professional summary

Garrick G Ruiz, who also goes by Garrick Ruiz, is a registered financial advisor currently at AQUIFER ASSET MANAGEMENT, LLC located in San Antonio, Texas and CAROFIN, LLC located in Brevard, North Carolina.

Garrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Garrick has worked at 10 firms and has passed the Series 66, Series 63, Series 82TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Garrick Ruiz

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.

Aquifer Asset Management, LLC. The activity is investment-related. The address is 6 Stonewall Bend, San Antonio, TX 78256. The business is an investment advisory business. My position is investment advisor representative to retail and high-net-worth individuals on a fee-for-service basis. The start date is Feb. 2021. The approximate number of hours/month devoted to this activity is 10 hours/month outside security trading hours. I will be an investment advisor representative to retail individuals and high-net-worth individuals on a fee-for-services basis (billed quarterly). I will manage clients' investments and advise clients on an on-going basis to buy, sell, or hold investments that fall within the realm for publicly or privately traded securities products. I will not take custody of client accounts nor will I have access to move funds from their custodian to external banks accounts of any kind. I will merely be granted trading authority at their custodian of choice. This authority will strictly grant me the power to actively trade securities within respective client accounts. Carolina Financial Securities, LLC. Investment-related. Address 100 Elks Club Road, Brevard, NC 28712. Carolina Financial Securities, LLC is an affiliated broker-dealer. I am a General Securities Representative. The start date is September 2022. The number of hours devoted to the activity per month is 80 hours all during trading hours. My duties include selling private securities offerings. Garrick G. Ruiz is a licensed General Lines (Life, Accident, Health and HMO) Agent in Texas. He spends no time on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Garrick G Ruiz's 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

April 21, 2021 - Present

AQUIFER ASSET MANAGEMENT, LLC

RIA

CRD#: 313002

San Antonio, TX

Current

September 11, 2019 - Present

CAROFIN, LLC

Office #1: 100 Elks Club Rd., Brevard, NC 28712

CRD#: 298717

Brevard, NC

Current

September 28, 2022 - Present

CAROLINA FINANCIAL SECURITIES, LLC

Office #1: 100 Elks Club Rd., Brevard, NC 28712

CRD#: 41970

Brevard, NC

Past

May 15, 2018 - April 9, 2019

SENDERO WEALTH MANAGEMENT, LLC

RIA

CRD#: 145594

SAN ANTONIO, TX

Past

May 15, 2018 - April 9, 2019

SENDERO SECURITIES, LLC

CRD#: 146627

SAN ANTONIO, TX

Past

September 17, 2015 - December 1, 2017

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

SAN ANTONIO, TX

Past

September 17, 2015 - December 1, 2017

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

SAN ANTONIO, TX

Past

September 19, 2012 - September 24, 2015

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

SAN ANTONIO, TX

Past

September 19, 2012 - September 24, 2015

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

SAN ANTONIO, TX

Past

December 14, 2009 - August 20, 2012

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

SAN ANTONIO, TX

Past

September 28, 2009 - August 20, 2012

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

SAN ANTONIO, TX

Past

September 16, 2008 - October 23, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SAN ANTONIO, TX

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

Arizona
(2/26/2020)

California
(2/5/2020)

Colorado
(1/7/2022)

Connecticut
(7/1/2020)

Florida
(9/29/2022)

Georgia
(5/29/2020)

Illinois
(1/13/2021)

Kansas
(9/24/2020)

Maryland
(11/16/2020)

Massachusetts
(11/10/2021)

New Jersey
(6/5/2020)

New York
(7/17/2020)

North Carolina
(5/29/2020)

Ohio
(5/7/2020)

Oregon
(5/8/2020)

Pennsylvania
(3/20/2020)

South Carolina
(12/7/2021)

Texas
(10/29/2019)

IAR

Texas
(4/21/2021)

Utah
(10/13/2023)

Virginia
(10/11/2023)

Washington
(6/16/2020)

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: 12/10/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/26/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 82TO

Date: 6/5/2024

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/13/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/15/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

AQUIFER ASSET MANAGEMENT, LLC

CRD#: 313002 / SEC#:

Texas

Registered Investment Advisory firm - (4/21/2021 Approved)

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Contact information

Main Address

San Antonio, TX

Mailing Address

Phone number

(210) 355-8041

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Garrick G. Ruiz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Garrick G Ruiz's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAROFIN, LLC

CAROLINA FINANCIAL SECURITIES, LLC

SENDERO WEALTH MANAGEMENT, LLC

SENDERO SECURITIES, LLC

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

CHASE INVESTMENT SERVICES CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/10/2009

Series 63

Date: 9/26/2008

Series 82TO

Date: 6/5/2024

SIE

Date: 10/1/2018

Series 7

Date: 11/13/2009

Series 6

Date: 9/15/2008

FINRA

Current Firm

AQUIFER ASSET MANAGEMENT, LLC

Contact information

Documents

Red Flags

Company Information

AQUIFER ASSET MANAGEMENT, LLC

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