Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Ruffine is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Michael has been in the securities industry since June 5, 1995. Michael is registered in 31 states and holds the Series 31, Series 7, and Series 63 securities licenses. Michael is also licensed as an investment advisor representative in New Jersey, New York and Texas. Michael offers a variety of financial services including portfolio management for individuals and businesses, pension consulting and educational seminars.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, 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.
1
2
NY
01/12/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
IA
Issued 07/11/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/14/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 06/05/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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