Roberto A. Ruvalcaba
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.
Roberto Alejandro Ruvalcaba, who also goes by Roberto A Ruvalcaba, Roberto Ruvalcaba, was a registered financial professional .
Roberto is a previously registered financial professional and started their career in finance in 2016. Roberto had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2022 - July 16, 2026
FISHER INVESTMENTS
October 1, 2020 - December 8, 2021
PARK AVENUE SECURITIES LLC
June 21, 2019 - December 8, 2021
PARK AVENUE SECURITIES LLC
September 19, 2017 - April 2, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 6, 2016 - June 14, 2017
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 422,516 |
| AUM (Assets Under Management) | $ 386,669,724,038 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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