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Gianna Ruffino
Gianna Marie Ruffino
CRD#: 7220214
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1501 K. STREET NW
WASHINGTON, DC 20005
Registration History
2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
California 9/9/2022

B
Missouri 9/9/2022

B
Colorado 9/9/2022

B
Nevada 9/9/2022

B
Connecticut 9/9/2022

B
New Jersey 9/9/2022

B
Delaware 9/9/2022

B
New Mexico 9/9/2022

B
District of Columbia 8/16/2022

B
New York 9/9/2022

IA
District of Columbia 10/26/2022

B
North Carolina 9/19/2022

B
Florida 9/9/2022

B
Ohio 9/9/2022

B
Georgia 9/9/2022

B
Oregon 9/9/2022

B
Idaho 9/9/2022

B
Pennsylvania 9/9/2022

B
Indiana 9/9/2022

B
Rhode Island 9/9/2022

B
Kentucky 9/9/2022

B
South Carolina 9/9/2022

B
Louisiana 9/9/2022

B
South Dakota 9/9/2022

B
Maine 9/9/2022

B
Tennessee 9/9/2022

B
Maryland 9/2/2022

B
Texas 9/9/2022

B
Massachusetts 9/9/2022

B
Virginia 9/2/2022

B
Michigan 9/9/2022

B
West Virginia 9/9/2022

B
Minnesota 9/9/2022

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)
1501 K. STREET NW, WASHINGTON, DC 20005
Washington, DC
Registered with this firm since 10/26/2022

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1501 K. STREET NW, WASHINGTON, DC 20005
Washington, DC
Registered with this firm since 4/14/2022

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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.