Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Judy? Claim Your ProfileJudy Marie Ruiz is a financial advisor with over 20 years of experience in the industry. Currently, Judy is registered with Robert W. Baird & Co. Inc. in the state of California. Judy's previous experience includes working for WELLS FARGO CLEARING SERVICES, LLC, WELLS FARGO INVESTMENTS, LLC, MORGAN STANLEY DW INC. and DEAN WITTER REYNOLDS INC. Judy is a holder of the Series 7, Series 10, Series 9, Series 63 and Series 65 licenses and has passed the SIE exam. Judy is a highly experienced advisor with a diverse background and is committed to providing her clients with a personalized and comprehensive financial planning experience.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
CA
06/22/2020 - Present
Robert W. Baird & Co. Inc. (ROSEVILLE CA)
CA
07/18/2008 - 06/25/2020
WELLS FARGO CLEARING SERVICES, LLC (ROSEVILLE CA)
CA
04/21/2004 - 06/19/2008
WELLS FARGO INVESTMENTS, LLC (ROSEVILLE CA)
NY
06/04/2001 - 04/08/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
CA
05/10/2000 - 12/21/2000
CAPBAY FINANCIAL SERVICES (ROSEVILLE CA)
NY
07/13/1999 - 04/28/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 11/08/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/19/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/28/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/24/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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