Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ruben? Claim Your ProfileRuben Cavada is a financial advisor who has been in the industry since February 4, 2006. Ruben is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Ruben is also a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. and has held previous positions with WELLS FARGO CLEARING SERVICES, LLC, J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP. and WAMU INVESTMENTS, INC.. Ruben holds FINRA Series 6, 7, 9, 63, 66, and SIE licenses. Ruben is currently licensed in Arizona, California, Florida, Nevada, Oregon, Texas, and Washington.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
05/02/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NORTH HOLLYWOOD CA)
CA
05/02/2014 - 04/05/2018
WELLS FARGO CLEARING SERVICES, LLC (VAN NUYS CA)
CA
10/01/2012 - 05/09/2014
J.P. MORGAN SECURITIES LLC (SUN VALLEY CA)
CA
05/02/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SUN VALLEY CA)
CA
01/11/2006 - 05/02/2009
WAMU INVESTMENTS, INC. (LOS ANGELES CA)
BOTH
Issued 10/03/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/04/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/23/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/09/2011
Series 7 - General Securities Representative Examination
BC
Issued 11/02/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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