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Carolyn Margaret Ruiz

PNC Investments

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About Carolyn Margaret Ruiz

Carolyn Margaret Ruiz is a financial professional with over 20 years of experience in the financial services industry. Carolyn has held several positions at prominent firms including M&T Securities, Inc. and LPL Financial LLC, before joining PNC Investments. Carolyn is a registered representative and investment advisor representative in Pennsylvania and holds multiple securities licenses including Series 7, 6, 63 and 65. She has a proven track record of success in providing financial advice to individuals, families, and businesses. Carolyn is dedicated to helping clients achieve their financial goals.

Firm Information

Carolyn Ruiz is currently registered with PNC Investments. PNC Investments, a Limited Liability Company formed in 2003, provides investment advisory services across the United States. They manage a wide range of client assets, including those of individuals, high-net-worth individuals, corporations, pension plans, charitable organizations, and churches. PNC Investments offers portfolio management services for individuals and businesses, as well as selection of other advisors. They also participate in wrap fee programs.
PNC Investments

300 FIFTH AVENUE

PITTSBURGH, PA 15222-2722

$23.90B

Assets Under Management

Not reported

Total Clients

1,112

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Carolyn Ruiz’s Registration & Firm History

PA

09/09/2022 - Present

PNC Investments (DALLAS PA)

PA

06/09/2021 - 01/11/2022

LPL FINANCIAL LLC (TOPTON PA)

PA

09/30/1998 - 06/09/2021

M&T SECURITIES, INC. (WILKES-BARRE PA)

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Licenses & Designations

IA

Issued 11/21/2022

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/02/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/23/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/10/2001

Series 7 - General Securities Representative Examination

BC

Issued 09/28/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Carolyn Margaret Ruiz. Review regulatory record here.
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