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Detailed Report
ALFRED EMIL RUIZ
CRD#: 1485166
IA
Investment Adviser
B
Broker
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 929 N CENTRAL AVE
STE A
TRACY, CA 95376
Registration History
19901995200020052010201520202025IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)1997 - Present (27 years)BAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)1989 - Present (35 years)BIDS LIFE INSURANCE COMPANY (CRD# 6321)1989 - 2006 (16 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1988 - 1989 (1 year)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1986 - 1988 (1 year)
License(s)

State Registrations

B
Arizona 4/8/2005
B
North Carolina 8/15/2007
B
California 12/22/1989
B
Ohio 4/11/2011
IA
California 12/15/1997
B
Oklahoma 8/5/2024
B
Colorado 2/24/2004
B
Oregon 9/19/2007
B
Florida 8/11/2020
B
Pennsylvania 4/18/2016
B
Georgia 1/13/2006
B
South Carolina 10/12/2022
B
Hawaii 10/29/2015
B
South Dakota 3/3/2017
B
Idaho 7/31/2008
B
Tennessee 9/2/2021
B
Illinois 1/4/2012
B
Texas 1/9/2006
B
Massachusetts 10/22/2021
IA
Texas 10/5/2006
B
Missouri 9/4/2007
B
Washington 9/25/2006
B
Nevada 10/11/2013
B
Wyoming 10/25/2023
B
New Mexico 4/18/2002

SRO Registrations

B
 FINRA

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
929 N CENTRAL AVE STE A, TRACY, CA 95376
Tracy, CA
Registered with this firm since 12/15/1997
B
AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363)
929 N CENTRAL AVE STE A, TRACY, CA 95376
Tracy, CA
Registered with this firm since 12/22/1989
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 12/22/1989 - 07/03/2006 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
B
 07/22/1988 - 11/13/1989 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
B
 12/26/1986 - 07/23/1988 SHEARSON LEHMAN HUTTON INC. (CRD#:7506)
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.