Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tom? Claim Your ProfileTom Ruo is a licensed securities professional with over 20 years of experience in the financial industry. Tom is currently a registered representative with Wedbush Securities Inc. in Los Angeles, CA. Tom has previously worked at Jefferies LLC and Portfolio Brokerage Services, Inc. Tom holds a variety of securities licenses and registrations, including Series 7, Series 24, Series 27, Series 57TO and Series 99TO. Tom specializes in providing investment advice to individuals, businesses, and high-net-worth clients. Tom also has experience in financial planning, portfolio management, and pension consulting.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
03/21/2016 - Present
Wedbush Securities Inc. (LOS ANGELES CA)
CA
03/24/2008 - 03/15/2016
JEFFERIES LLC (LOS ANGELES CA)
IL
04/03/2007 - 07/11/2007
PORTFOLIO BROKERAGE SERVICES, INC. (CHICAGO IL)
CA
08/21/2001 - 06/05/2006
JEFFERIES & COMPANY, INC. (LOS ANGELES CA)
BC
Issued 10/01/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/20/2023
Series 24 - General Securities Principal Examination
BC
Issued 08/29/2019
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 03/26/2022
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/2001
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
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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