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Joan Patricia Ruffini

Nylife Securities LLC

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About Joan Patricia Ruffini

Joan Ruffini is a financial professional with over 20 years of experience in the industry. She is currently registered with Nylife Securities LLC, and has previously worked with LPL Financial LLC, J.P. Morgan Securities LLC, MML Investors Services, LLC, MSI Financial Services, Inc., and USAA Investment Management Company. Joan is licensed to conduct business in all 50 states.

Firm Information

Joan Ruffini is currently registered with Nylife Securities LLC. Nylife Securities LLC is a Limited Liability Company formed in 2007, registered in 51 states and the SEC. The firm has been involved in 13 regulatory events and 7 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

4,464

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.

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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Joan Ruffini’s Registration & Firm History

TX

05/19/2022 - Present

Nylife Securities LLC (DALLAS TX)

TX

10/07/2019 - 12/10/2020

LPL FINANCIAL LLC (SAN ANTONIO TX)

TX

10/30/2017 - 06/06/2018

J.P. MORGAN SECURITIES LLC (SAN ANTONIO TX)

TX

03/25/2017 - 10/02/2017

MML INVESTORS SERVICES, LLC (San Antonio TX)

TX

07/21/2015 - 03/25/2017

MSI FINANCIAL SERVICES, INC. (SAN ANTONIO TX)

TX

07/20/2006 - 04/04/2008

FROST BROKERAGE SERVICES, INC. (SAN ANTONIO TX)

TX

02/16/1994 - 12/16/2005

USAA INVESTMENT MANAGEMENT COMPANY (SAN ANTONIO TX)

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Licenses & Designations

BOTH

Issued 09/08/2015

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/11/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/13/2022

Series 7TO - General Securities Representative Examination

BC

Issued 06/06/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/21/2015

Series 7 - General Securities Representative Examination

BC

Issued 02/15/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joan Patricia Ruffini.
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