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Mark Anthony Ruffo

Lincoln Financial Distributors, Inc.

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About Mark Anthony Ruffo

Mark Anthony Ruffo is a financial advisor currently registered with Lincoln Financial Distributors, Inc. Mark has been in the financial services industry since 1998, serving clients in various roles with companies such as Lincoln Financial Advisors Corporation, Empower Financial Services, Inc., TD Ameritrade, Inc., and Charles Schwab & Co., Inc. Mark holds licenses Series 6, 7, 63 and 66, as well as the SIE exam. Mark is currently registered with the following states: Alaska, Arizona, California, Hawaii, Louisiana, Oregon and Washington.

Firm Information

Mark Ruffo is currently registered with Lincoln Financial Distributors, Inc.. Lincoln Financial Distributors, Inc. is a Corporation formed in August 1967. It is registered with the SEC and in all 50 states, as well as Puerto Rico. The firm has disclosed three regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

984

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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Mark Ruffo’s Registration & Firm History

IN

05/01/2024 - Present

Lincoln Financial Distributors, Inc. (FORT WAYNE IN)

IN

09/20/2022 - 05/01/2024

LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)

CO

02/18/2022 - 09/22/2022

EMPOWER FINANCIAL SERVICES, INC. (GREENWOOD VILLAGE CO)

CA

04/24/2017 - 02/01/2022

LINCOLN FINANCIAL ADVISORS CORPORATION (SAN DIEGO CA)

NE

03/14/2017 - 04/18/2017

TD AMERITRADE, INC. (OMAHA NE)

CA

03/22/2000 - 09/21/2015

CHARLES SCHWAB & CO., INC. (SAN DIEGO CA)

NY

05/20/1996 - 02/08/2000

SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 08/21/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/03/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/14/2000

Series 7 - General Securities Representative Examination

BC

Issued 05/17/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Mark Anthony Ruffo. Review regulatory record here.
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