Individual Firm
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RAYMOND J RUIZ
RUIZ J RAYMOND, RAYMOND JAMES RUIZ
CRD#: 1947190
IA
B
MORGAN STANLEYCRD#: 149777 1020 10th Street
2nd Floor
Modesto, CA 95354
2nd Floor
Modesto, CA 95354
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12/10/2003
Customer Dispute
Denied
1/15/1999
Customer Dispute
Denied
2/25/1983
Criminal
Final Disposition
State Registrations
B
Alabama 2/8/2023
B
Montana 8/17/2022
B
Alaska 7/25/2022
B
Nebraska 5/17/2021
B
Arizona 7/28/2022
B
Nevada 5/11/2020
B
Arkansas 5/6/2024
B
New Jersey 5/1/2024
B
California 6/1/2009
B
New Mexico 5/1/2024
IA
California 6/1/2009
B
New York 12/4/2021
B
Colorado 6/1/2009
B
North Carolina 5/1/2024
B
Connecticut 5/1/2024
B
Ohio 5/25/2016
B
Florida 6/2/2021
B
Oklahoma 7/14/2022
B
Georgia 6/1/2009
B
Oregon 6/1/2009
B
Hawaii 7/15/2022
B
Pennsylvania 7/14/2022
B
Idaho 1/8/2018
B
Rhode Island 7/19/2022
B
Illinois 6/23/2020
B
South Carolina 5/1/2024
B
Iowa 5/3/2024
B
Tennessee 7/15/2022
B
Kansas 7/14/2022
B
Texas 6/1/2009
B
Louisiana 5/8/2024
IA
Texas 2/24/2020
B
Maine 8/7/2024
B
Utah 7/15/2022
B
Maryland 5/2/2024
B
Virginia 6/1/2009
B
Massachusetts 8/1/2023
B
Washington 3/12/2014
B
Michigan 7/18/2022
B
Wisconsin 5/2/2024
B
Minnesota 5/1/2024
B
Wyoming 7/25/2022
B
Missouri 7/14/2022
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/14/2001 - 06/01/2009 | MODESTO, CA | |
B | 02/28/2000 - 06/01/2009 | MODESTO, CA | |
B | 05/26/1989 - 02/25/2000 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.