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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Nathan Ruiz is a financial advisor registered with Wells Fargo Clearing Services, LLC. William Nathan Ruiz has been in the securities industry since 1995 and has a total of 6 approved securities registrations. William Nathan Ruiz has passed Series 63, 66, 7, 8, 9, 10, 99TO and SIE exams. William Nathan Ruiz is also registered with the state of California. William Nathan Ruiz has previously been employed by Northwestern Mutual Investment Services, LLC, Fidelity Brokerage Services LLC, TD Ameritrade, Inc., Kennedy, Cabot & Co. and PaineWebber Incorporated. William Nathan Ruiz has experience working in the cities of Los Angeles, Torrance, Beverly Hills, Weehawken, Rochester, Newport Beach and Redondo Beach. William Nathan Ruiz specializes in portfolio management for individuals and businesses, financial planning, pension consulting and selection of other advisors.
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.
Investment consulting services to institutional clients
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
03/26/2013 - Present
Wells Fargo Clearing Services, LLC (ROLLING HILLS ESTATES CA)
CA
07/23/2012 - 03/25/2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (LOS ANGELES CA)
CA
11/27/2007 - 02/10/2012
FIDELITY BROKERAGE SERVICES LLC (TORRANCE CA)
CA
11/07/1997 - 12/04/2006
TD AMERITRADE, INC. (BEVERLY HILLS CA)
CA
11/08/1996 - 11/07/1997
KENNEDY, CABOT & CO. (BEVERLY HILLS CA)
NJ
01/01/1995 - 07/19/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
09/01/1993 - 10/28/1994
H.J. MEYERS & CO., INC. (ROCHESTER NY)
BOTH
Issued 08/14/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/04/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/27/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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