Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Ruffin is a financial advisor registered with Ameriprise Financial Services, LLC. William has been in the financial services industry since 2007 and has experience working with Ameriprise, Wedbush Securities, MML Investors Services, Securities America, Pactolu Securities, and other companies. William has worked in various locations across Pennsylvania, Maryland, Virginia, and New York. William is licensed in Pennsylvania and has passed the Series 63, SIE, Series 31, Series 7 and Series 6 exams. William specializes in providing asset allocation services, financial planning, pension consulting, educational seminars, publication of periodicals, selection of other advisers, portfolio management for businesses, 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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation services
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.
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2
PA
10/11/2023 - Present
Ameriprise Financial Services, LLC (ALLENTOWN PA)
PA
05/03/2021 - 10/14/2022
WEDBUSH SECURITIES INC. (RADNOR PA)
PA
03/16/2021 - 04/12/2021
MML INVESTORS SERVICES, LLC (LEWISTOWN PA)
MD
07/27/2020 - 09/11/2020
SECURITIES AMERICA, INC. (DAMASCUS MD)
VA
05/31/2018 - 09/17/2018
PACTOLUS SECURITIES, LLC (VIENNA VA)
MD
05/06/2016 - 06/30/2016
AMERIPRISE FINANCIAL SERVICES, INC. (COLUMBIA MD)
MD
12/17/2015 - 03/02/2016
UBS FINANCIAL SERVICES INC. (HUNT VALLEY MD)
MD
05/27/2015 - 10/12/2015
NFP ADVISOR SERVICES, LLC (BALTIMORE MD)
MD
06/04/2014 - 01/07/2015
SII INVESTMENTS, INC. (ANNAPOLIS MD)
PA
06/01/2009 - 10/28/2013
MORGAN STANLEY (PHILADELPHIA PA)
PA
12/10/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEWTOWN PA)
NY
07/08/2002 - 03/11/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MD
01/12/2001 - 04/19/2001
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
VA
01/28/1998 - 03/01/1999
LARA, NEHEMIAH & ASSOCIATES, LTD. (FALLS CHURCH VA)
MD
03/12/1997 - 11/19/1997
H. BECK, INC. (ROCKVILLE MD)
BC
Issued 07/01/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/17/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 06/10/2003
Series 7 - General Securities Representative Examination
BC
Issued 03/11/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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