Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Ruiz is a financial advisor with Cetera Advisors LLC. Joseph has been in the financial industry for over 22 years. He is registered with the state of California and holds the Series 7, 24, 63 and 99TO licenses. Joseph also holds the SIE license. He has experience working with Cetera Advisor Networks LLC, National Planning Corporation, LPL Financial LLC, Associated Securities Corp., Securities America, Inc., S.W. Bach & Company, NYLIFE Securities Inc., The Thornwater Company, L.P., Waterhouse Securities, Inc., Rickel & Associates, Inc., D. Blech & Company, Incorporated and Barrington Capital Group, L.P.
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.
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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2
CA
01/23/2024 - Present
Cetera Advisors LLC (EL SEGUNDO CA)
CA
07/10/2013 - 10/02/2014
NATIONAL PLANNING CORPORATION (El Segundo CA)
CA
09/24/2009 - 07/16/2013
LPL FINANCIAL LLC (SAN DIEGO CA)
CA
01/08/2008 - 11/13/2009
ASSOCIATED SECURITIES CORP. (EL SEGUNDO CA)
CA
01/01/2006 - 04/17/2007
SECURITIES AMERICA, INC. (SANTA MONICA CA)
NY
10/02/2002 - 12/09/2002
S.W. BACH & COMPANY (PORT WASHINGTON NY)
NY
09/20/2000 - 03/28/2001
NYLIFE SECURITIES INC. (NEW YORK NY)
NY
04/09/1998 - 02/11/1999
THE THORNWATER COMPANY, L.P. (NEW YORK NY)
NY
05/31/1996 - 05/27/1997
THE THORNWATER COMPANY, L.P. (NEW YORK NY)
NE
08/03/1995 - 04/03/1996
WATERHOUSE SECURITIES, INC. (OMAHA NE)
NY
10/06/1994 - 01/10/1995
RICKEL & ASSOCIATES, INC. (NEW YORK NY)
NY
03/22/1994 - 10/26/1994
D. BLECH & COMPANY, INCORPORATED (NEW YORK NY)
NY
03/22/1993 - 03/23/1994
BARINGTON CAPITAL GROUP, L.P. (NEW YORK NY)
BC
Issued 10/03/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/12/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/21/2005
Series 7 - General Securities Representative Examination
Active
Inactive
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FINRA
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