Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rodolfo? Claim Your ProfileRodolfo Ruiz is a financial advisor with Wells Fargo Clearing Services, LLC. Rodolfo has been in the financial services industry for 5 years. Rodolfo is registered with the state of California as a broker-dealer and an investment advisor representative. He is also registered with FINRA as a registered representative. Rodolfo holds the Series 7, Series 63, Series 66, and SIE securities licenses. He is also licensed to sell insurance in the states of Arizona, California, Florida, Idaho, Indiana, Kansas, Kentucky, Montana, Nevada, New Jersey, New Mexico, North Carolina, Ohio, Oregon, South Carolina, Tennessee, Texas, Utah, and Virginia. He has experience providing financial planning, investment consulting, and portfolio management services to individual and institutional clients. Rodolfo's current office location is in Port Hueneme, California.
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
CA
03/19/2021 - Present
Wells Fargo Clearing Services, LLC (PORT HUENEME CA)
BOTH
Issued 03/19/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/17/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/17/2019
Series 7TO - General Securities Representative Examination
BC
Issued 04/08/2019
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 12/03/2018
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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