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ROBERTO RUIZ
CRD#: 4502854
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1700 SOUTH 10TH STREET
PASEO PLAZA SHOPPING CENTER
MCALLEN, TX 78503
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2012 (10 years)2 FIRMS2012 - 2014 (2 years)2 FIRMS2014 - Present (10 years)
Disclosure(s)
View By:
4/3/2011
Customer Dispute
Denied
4/3/2011
Customer Dispute
Denied
License(s)

State Registrations

B
California 2/6/2024

B
Texas 11/7/2014

B
Florida 8/3/2023

IA
Texas 11/7/2014

B
New York 1/10/2024

B
Wisconsin 12/5/2014

B
North Carolina 1/18/2024

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1700 SOUTH 10TH STREET PASEO PLAZA SHOPPING CENTER, MCALLEN, TX 78503
Clara Mission, TX
Registered with this firm since 11/7/2014

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1700 SOUTH 10TH STREET PASEO PLAZA SHOPPING CENTER, MCALLEN, TX 78503
Clara Mission, TX
Registered with this firm since 11/7/2014

Previous Registration(s)
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IA
10/01/2012 - 11/24/2014 J.P. MORGAN SECURITIES LLC (CRD#:79) MCALLEN, TX
B
10/01/2012 - 11/24/2014 J.P. MORGAN SECURITIES LLC (CRD#:79) MCALLEN, TX
IA
04/09/2002 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) MCALLEN, TX
B
02/27/2002 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) MCALLEN, TX
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B
Broker
IA
Investment Adviser
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.