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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard John Ruffino is a financial advisor with over 20 years of experience in the industry. Richard is currently registered with Wells Fargo Clearing Services, LLC, and is licensed in New Jersey and New York. Previously, Richard has been affiliated with BARCLAYS CAPITAL INC. and LEHMAN BROTHERS INC. Richard has passed several industry exams including the Series 7, Series 63, and Series 66. Richard has a strong track record of providing financial advice and investment management services to a wide range of clients, including high-net-worth individuals, corporations, and institutions.
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.
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.
Investment consulting services to institutional clients
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
07/27/2021 - Present
Wells Fargo Clearing Services, LLC (NEW YORK NY)
NY
09/22/2008 - 10/08/2008
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
09/25/2002 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 03/31/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/04/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/24/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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