William M. Ruffell

MURRAY RUFFELL

PONTE VEDRA, FL

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CRD#: 716118

Professional summary

William Murray Ruffell is a registered financial advisor currently at MURRAY RUFFELL located in Ponte Vedra, Florida.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. William has worked at 12 firms and has passed the Series 63, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Murray Ruffell'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

February 28, 2006 - Present

MURRAY RUFFELL

RIA

CRD#: 134169

PONTE VEDRA, FL

Past

July 6, 2004 - January 31, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

JACKSONVILLE, FL

Past

June 24, 2004 - January 31, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

August 18, 2003 - June 22, 2004

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

April 4, 2003 - September 3, 2003

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

JACKSONVILLE, FL

Past

November 15, 2002 - September 3, 2003

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

June 12, 1997 - November 18, 2002

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

January 13, 1992 - May 28, 1997

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

January 19, 1990 - December 4, 1991

AMERICAN CAPITAL MARKETING, INC.

CRD#: 6699

Past

August 2, 1989 - September 28, 1989

INVESCO DISTRIBUTORS, INC.

CRD#: 289

HOUSTON, TX

Past

October 31, 1988 - June 2, 1992

NATIONAL EQUITY RESOURCES INC.

CRD#: 17642

Past

April 28, 1987 - June 2, 1992

NATIONAL EQUITY RESOURCES INC.

CRD#: 17642

Past

April 3, 1987 - October 15, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

May 20, 1982 - June 24, 1983

ENERGY METHODS SECURITIES CO., INC.

CRD#: 8353

Past

January 11, 1982 - April 13, 1987

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Past

September 25, 1980 - January 6, 1982

BOETTCHER & COMPANY, INC.

CRD#: 101

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.

Highlighted states indicate IAR registrations

IAR

Florida
(2/28/2006)

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

Series 63

Date: 11/4/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/20/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/26/1982

General Securities Principal Examination

Current Firm

MURRAY RUFFELL

MURRAY RUFFELL | WILLIAM MURRAY RUFFELL | MURRAY RUFFELL, CFP, CHFC

CRD#: 134169 / SEC#: 801-64012

RIA

Registered Investment Advisory firm - (3/31/2006 Terminated)

Florida

Registered Investment Advisory firm - (2/28/2006 Approved)

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

Ponte Vedra Beach, FL

Mailing Address

Phone number

(904) 273-7069

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 14,350,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

William M. Ruffell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Murray Ruffell's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

COREBRIDGE CAPITAL SERVICES, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

AMERICAN CAPITAL MARKETING, INC.

INVESCO DISTRIBUTORS, INC.

NATIONAL EQUITY RESOURCES INC.

NATIONAL EQUITY RESOURCES INC.

INTEGRATED RESOURCES EQUITY CORPORATION

ENERGY METHODS SECURITIES CO., INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

BOETTCHER & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/4/1980

Series 7

Date: 9/20/1980

Series 24

Date: 8/26/1982

Current Firm

MURRAY RUFFELL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MURRAY RUFFELL

TRUST BUT VERIFY

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