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Miguel Ruiz

Broadridge Business Process Outsourcing, LLC

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About Miguel Ruiz

Miguel Ruiz is a registered representative with Broadridge Business Process Outsourcing, LLC. Miguel has been in the securities industry for over 10 years. Miguel has Series 99 and SIE licenses and was previously a registered representative with BMO Capital Markets Corp.

Firm Information

Miguel Ruiz is currently registered with Broadridge Business Process Outsourcing, LLC. Broadridge Business Process Outsourcing, LLC is a Limited Liability Company formed in 2001-04-06. The firm is registered in California, Colorado, Illinois, New Jersey, New York, and Texas. It is also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

109

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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Miguel Ruiz’s Registration & Firm History

NJ

04/06/2018 - Present

Broadridge Business Process Outsourcing, LLC (Newark NJ)

NY

06/13/2012 - 03/22/2018

BMO CAPITAL MARKETS CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/12/2012

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Miguel Ruiz.
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