Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joshua? Claim Your ProfileJoshua Ruiz is a financial advisor currently registered with UBS Financial Services Inc., and has been in the financial industry since September 2019. Joshua is licensed to provide financial advice and services in all 50 states, as well as Puerto Rico and the US Virgin Islands. Joshua has passed several securities examinations, including the Series 66, Series 7, and the SIE exam. Joshua's experience includes working at Merrill Lynch Wealth Management and various roles at The University of Texas at Austin and Sharyland High School. Joshua specializes in providing financial advice and services to high-net-worth individuals, corporations, and other 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.
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
11/28/2024 - Present
UBS Financial Services Inc. (NEW YORK NY)
BOTH
Issued 10/22/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/16/2019
Series 7TO - General Securities Representative Examination
BC
Issued 08/06/2019
SIE - Securities Industry Essentials 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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