Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Wendy? Claim Your ProfileWendy M. Ruiz is a financial professional with over 25 years of experience in the industry. Wendy currently works with Principal Securities, Inc. Prior to this, Wendy was with Cetera Advisor Networks LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, First Allied Securities, Inc., Madison Avenue Securities, Inc., Keystone Capital Corporation, Scudder Weisel Capital, LLC, and Scudder Investor Services, Inc. Wendy holds Series 6, Series 63, SIE, and Series 99TO licenses. Wendy provides financial planning, pension consulting, educational seminars, selection of other advisers, and portfolio management for individuals.
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.
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.
Seminar fees, solicitors fees, subscription consulting fees
1
2
IA
01/14/2022 - Present
Principal Securities, Inc. (DES MOINES IA)
CA
04/01/2019 - 12/03/2021
CETERA ADVISOR NETWORKS LLC (SAN DIEGO CA)
CA
04/01/2019 - 12/03/2021
CETERA ADVISORS LLC (SAN DIEGO CA)
CA
04/01/2019 - 12/03/2021
CETERA FINANCIAL SPECIALISTS LLC (SAN DIEGO CA)
CA
10/30/2007 - 12/03/2021
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
CA
01/16/2006 - 11/01/2007
MADISON AVENUE SECURITIES, INC. (SAN DIEGO CA)
NY
03/24/2003 - 03/19/2004
KEYSTONE CAPITAL CORPORATION (NEW YORK NY)
CA
01/09/2001 - 04/30/2001
SCUDDER WEISEL CAPITAL, LLC (SAN FRANCISCO CA)
NY
02/04/1997 - 12/31/2000
SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)
BC
Issued 03/14/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/03/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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