Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Ruttenberg is a financial advisor who has been active in the industry since 1987. Michael is registered with Raymond James & Associates, Inc. and has previous experience with UBS Financial Services Inc., Wachovia Securities, LLC, J.P. Morgan Securities Inc., Hambrecht & Quist LLC and First Union Securities, Inc. Michael holds licenses for Securities Industry Essentials Examination, National Commodity Futures Examination, General Securities Representative Examination, Uniform Securities Agent State Law Examination, Uniform Investment Adviser Law Examination and General Securities Sales Supervisor Examination. Michael has been working in the Walnut Creek, CA area since 2007.
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.
Please see note in schedule d - miscellaneous
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
CA
06/06/2014 - Present
Raymond James & Associates, Inc. (Walnut Creek CA)
CA
02/20/2007 - 03/26/2014
UBS FINANCIAL SERVICES INC. (WALNUT CREEK CA)
CA
02/22/2002 - 02/15/2007
WACHOVIA SECURITIES, LLC (SAN FRANCISCO CA)
NY
02/01/2000 - 02/22/2002
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
CA
11/15/1999 - 02/01/2000
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
MO
03/24/1994 - 11/15/1999
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NY
04/21/1987 - 03/04/1994
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 11/21/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/28/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/22/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/2002
Series 3 - National Commodity Futures Examination
BC
Issued 04/18/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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