Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Javier? Claim Your ProfileJavier Ruiz is a financial advisor at UBS Financial Services Inc. Javier has been in the financial services industry for over 23 years, with previous experience at CITIGROUP GLOBAL MARKETS INC. Javier is registered in 53 states and holds the Series 7, 10, 24, 55, 57TO, 63, and 66 licenses. Javier specializes in providing financial planning, portfolio management, and pension consulting services to a wide range of clients, including individuals, businesses, and charitable organizations. Javier is also a fitness trainer and enjoys helping people achieve their fitness goals.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NY
07/25/2007 - Present
UBS Financial Services Inc. (New York NY)
NY
04/03/2000 - 09/05/2006
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BOTH
Issued 12/19/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/26/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/30/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/30/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/31/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
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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