Ruby E. Sierra

Some features on this profile are disabled

CRD#: 6440599

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.

Ruby Estella Sierra, who also goes by Ruby Estella Sierra, Ruby Estella Sierra-guerrero, was a registered financial professional .

Ruby is a previously registered financial professional and started their career in finance in 2015. Ruby had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ruby Estella Sierra | Ruby Estella Sierra-Guerrero

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 27, 2024 - February 27, 2025

SOLTIS INVESTMENT ADVISORS, LLC

RIA

CRD#: 154690

Frederick, CO

Past

March 18, 2022 - May 31, 2024

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Denver, CO

Past

March 18, 2022 - May 31, 2024

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

March 26, 2016 - January 24, 2022

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Lone Tree, CO

Past

July 24, 2015 - January 24, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lone Tree, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SOLTIS INVESTMENT ADVISORS, LLC

CRD#: 154690 / SEC#: 801-71833

RIA

Registered Investment Advisory firm - (9/20/2010 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/26/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/12/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/24/2015

General Securities Representative Examination

Current Firm

SOLTIS INVESTMENT ADVISORS, LLC

CRD#: 154690 / SEC#: 801-71833

RIA

Registered Investment Advisory firm - (9/20/2010 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

20 North Main Suite 400, St. George, UT 84770

Mailing Address

Phone number

(435) 674-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SOLTIS BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,499
AUM (Assets Under Management)	$ 8,352,553,865

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ruby E. Sierra

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

SOLTIS INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/26/2016

Series 63

Date: 6/12/2015

SIE

Date: 10/1/2018

Series 7

Date: 7/24/2015

Current Firm

SOLTIS INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SOLTIS INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors