Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rowena? Claim Your ProfileRowena York Ruff is a financial advisor with over 20 years of experience in the industry. Rowena is currently registered as an Investment Advisor Representative with Independent Advisor Alliance, LLC. Previously, Rowena was affiliated with UVEST Financial Services Group, Inc. and Dean Witter Reynolds Inc. Rowena is licensed to offer securities and investment advisory services in several states. She holds the Series 7, Series 63, and Series 65 licenses. Her practice focuses on providing financial planning and investment advisory services to individuals, corporations, and trusts. Rowena is committed to helping her clients achieve their financial goals.
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.
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.
A percentage of the total value of assets under management is charged.
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2
KY
10/12/2018 - Present
Independent Advisor Alliance, LLC (Lexington KY)
KY
03/30/2000 - 02/03/2010
UVEST FINANCIAL SERVICES GROUP, INC. (LEXINGTON KY)
NY
07/22/1997 - 04/04/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 05/18/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/25/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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