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Detailed Report
Ruby Herrera
RUBY MARDUENO, RUBY VILLAGOMEZ
CRD#: 5422041
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 200 S LOS ROBLES AVENUE
PASADENA, CA 91101
Registration History
20002002200420062008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2009 - Present (16 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2008 - Present (16 years)
Disclosure(s)
View By:
11/21/2000
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 1/17/2018
B
Colorado 8/13/2020
B
California 4/8/2009
B
Nevada 1/30/2018
IA
California 4/8/2009
B
Oregon 5/22/2018

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)
200 S LOS ROBLES AVENUE, PASADENA, CA 91101
2575 East Camelback Road SUITE 900, PHOENIX, AZ 85016
Registered with this firm since 4/8/2009
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
200 S LOS ROBLES AVENUE, PASADENA, CA 91101
2575 East Camelback Road SUITE 900, PHOENIX, AZ 85016
Registered with this firm since 12/17/2008
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.