Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mario? Claim Your ProfileMario Anthon Ruiz is an active investment advisor representative with over 26 years of experience in the financial services industry. Mario is currently registered with LPL Financial LLC. Prior to joining LPL Financial LLC, Mario worked at SII INVESTMENTS, INC., and FSC SECURITIES CORPORATION. Mario has a strong track record of providing comprehensive financial planning and investment advice to a wide range of clients. Mario holds a variety of licenses and certifications, including the Series 7, Series 63, and Series 65 licenses.
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.
Consulting and other non-discretionary advisory services
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.
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2
IN
10/16/2018 - Present
LPL Financial LLC (CROWN POINT IN)
IN
12/10/1998 - 02/14/2018
SII INVESTMENTS, INC. (CROWN POINT IN)
GA
11/22/1996 - 12/10/1998
FSC SECURITIES CORPORATION (ATLANTA GA)
IA
Issued 08/19/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/11/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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