Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Desiree? Claim Your ProfileDesiree Defalco Ruiz is a financial advisor currently registered with Oppenheimer & Co. Inc. Desiree has been in the financial services industry for over 28 years. Desiree has a diverse set of qualifications including Series 7, 9, 10, 24, 55, 57TO and SIE licenses as well as a Series 63. Desiree has been active in the industry since 1995. In addition to Oppenheimer & Co. Inc., Desiree was previously registered with CIBC WORLD MARKETS CORP. Desiree is licensed in all 50 states, as well as Puerto Rico and the District of Columbia.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
01/03/2003 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
01/03/1995 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
BC
Issued 11/17/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/19/2022
Series 24 - General Securities Principal Examination
BC
Issued 11/04/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/25/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/27/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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