Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rui? Claim Your ProfileRui M. Cruz is a financial advisor at J.p. Morgan Securities LLC in Houston, TX. Rui has over 20 years of experience in the financial services industry. Prior to joining J.p. Morgan Securities LLC, Rui was a financial advisor at J.P. MORGAN SECURITIES INC. and MORGAN STANLEY DW INC. Rui is a Series 7, 9, 10, 24, 31, 66, 99TO and SIE licensed professional. Rui is registered to provide investment advice in 53 states and is a member of FINRA.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
TX
10/01/2008 - Present
J.p. Morgan Securities LLC (Houston TX)
NY
09/13/2002 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
01/11/2001 - 08/22/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 09/19/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/30/2008
Series 24 - General Securities Principal Examination
BC
Issued 05/06/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/13/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 01/10/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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