Gabriel Ruiz
Professional summary
Gabriel Ruiz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gabriel is a previously registered financial professional and started their career in finance in 2021. Prior to being barred, Gabriel had worked at 1 firm, which includes ADP BROKER-DEALER INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2021 - January 24, 2023
ADP BROKER-DEALER, INC.
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
Series 6TO
Date: 10/19/2021
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
Red Flags
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