Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Jose Marruffo is a financial professional with over 17 years of experience in the industry. He is currently registered with Wells Fargo Clearing Services, LLC and has previously worked with firms such as Merrill Lynch, E*TRADE Securities LLC, and UBS Financial Services Inc. Eric Jose Marruffo has a strong background in financial planning, investment management, and portfolio management. His experience spans various client types, including high-net-worth individuals, corporations, and charitable organizations. Eric Jose Marruffo holds several licenses, including the Series 7, Series 63, and Series 66. He is dedicated to providing personalized financial solutions tailored to meet individual client needs.
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.
Investment consulting services to institutional clients
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.
1
2
CA
09/19/2022 - Present
Wells Fargo Clearing Services, LLC (SAN JOSE CA)
CA
04/09/2020 - 09/20/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PALO ALTO CA)
CA
03/03/2017 - 01/22/2020
E*TRADE SECURITIES LLC (PALO ALTO CA)
CA
03/16/2015 - 03/01/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
FL
08/03/2007 - 02/27/2015
MERCANTIL COMMERCEBANK INVESTMENT SERVICES (CORAL GABLES FL)
TX
01/24/2006 - 04/11/2006
STANFORD GROUP COMPANY (HOUSTON TX)
NJ
11/24/2004 - 09/21/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
TX
01/09/2004 - 10/29/2004
GLOBAL FINANCIAL SERVICES, L.L.C. (HOUSTON TX)
BOTH
Issued 09/29/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/24/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/08/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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