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Detailed Report
MARK GORDON RUOF
CRD#: 1111871
IA
Investment Adviser
B
Broker
RBC CAPITAL MARKETS, LLCCRD#: 31194 5250 NORTH PALM AVENUE
SUITE 111
FRESNO, CA 93704-2226
Registration History
1985199019952000200520102015202020252 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - Present (16 years)BMORGAN STANLEY DW INC. (CRD# 7556)1983 - 2007 (24 years)IAMORGAN STANLEY (CRD# 7556)1997 - 2007 (9 years)
License(s)

State Registrations

B
Arizona 2/27/2009
B
Nevada 2/27/2009
B
California 2/27/2009
B
New Jersey 4/4/2019
IA
California 3/3/2009
B
New Mexico 11/11/2016
B
Colorado 1/4/2012
B
New York 4/28/2015
B
Delaware 1/11/2022
B
North Carolina 5/2/2014
B
District of Columbia 2/24/2014
B
Oklahoma 11/11/2016
B
Florida 11/10/2021
B
Oregon 2/27/2009
B
Hawaii 8/24/2012
B
Tennessee 3/20/2023
B
Idaho 11/11/2016
B
Texas 4/24/2020
B
Indiana 4/7/2015
IA
Texas 4/24/2020
B
Iowa 3/6/2019
B
Utah 5/29/2018
B
Kentucky 10/24/2016
B
Virginia 7/15/2016
B
Maryland 10/27/2020
B
Washington 2/27/2009
B
Michigan 11/11/2016
B
Wisconsin 11/14/2022
B
Montana 9/14/2020
B
Wyoming 5/12/2011
B
Nebraska 5/1/2018

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX PEARL, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RBC CAPITAL MARKETS, LLC (CRD#:31194)
5250 NORTH PALM AVENUE SUITE 111, FRESNO, CA 93704-2226
Fresno, CA
Registered with this firm since 3/3/2009
B
RBC CAPITAL MARKETS, LLC (CRD#:31194)
5250 NORTH PALM AVENUE SUITE 111, FRESNO, CA 93704-2226
Fresno, CA
Registered with this firm since 2/27/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 03/02/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) FRESNO, CA
B
 04/02/2007 - 03/02/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) FRESNO, CA
IA
 07/08/1997 - 04/02/2007 MORGAN STANLEY (CRD#:7556) FRESNO, CA
B
 04/19/1983 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) FRESNO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.