Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dominick? Claim Your ProfileDominick Ruiz is an investment advisor representative with Cadaret, Grant & Co., Inc. based in San Jose, CA. Dominick is also registered as an investment advisor representative with the states of Arizona, California, Colorado, Connecticut, Idaho, Massachusetts, Nebraska, Nevada, New York, Ohio, Oregon, Texas, and Washington. Dominick has been in the securities industry since November 5, 2006 and has experience with Wells Fargo Advisors, LLC and LPL Financial LLC. Dominick specializes in financial planning and portfolio management for individuals and businesses.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
A percentage of the total value of assets under management is charged.
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2
CA
01/26/2023 - Present
Cadaret, Grant & CO., Inc. (San Jose CA)
CA
09/09/2015 - 02/06/2023
LPL FINANCIAL LLC (SAN JOSE CA)
CA
12/13/2011 - 09/14/2015
WELLS FARGO ADVISORS, LLC (SAN JOSE CA)
CA
12/07/2009 - 12/14/2011
CHASE INVESTMENT SERVICES CORP. (SAN BRUNO CA)
CA
02/24/2006 - 03/26/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN JOSE CA)
BOTH
Issued 03/22/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/14/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/24/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/23/2008
Series 7 - General Securities Representative Examination
BC
Issued 02/23/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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