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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-11-30
TX RA APPROVED_RES 2017-11-30
  • CA RA
    APPROVED
    Since 2017-11-30
  • TX RA
    APPROVED_RES
    Since 2017-11-30

Branch Locations

2555 E Camelback Rd Pbig - Phoenix, Phoenix, AZ 85016 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Los Angeles CA 11/2008 11/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Scottsdale AZ 11/2017 Present
Bank Of America, N.A. Scottsdale AZ 02/2018 Present
Previous Registrations
  • 2008-11-24 → 2017-12-11
    Phoenix, AZ
    Los Angeles, CA
  • 2001-08-23 → 2008-11-25
    Morgan Stanley & Co. Llc
    Los Angeles, CA
    Los Angeles, CA
Other Businesses

I*1048673Entity Type School, College or UniversityName of outside business organization: Brown UniversityInvestment related: NoAddress of business: Providence, Rhode IslandPosition, title, association: Committee memberStart date of relationship: 11/1/2022Number of hours devoted: 3 hours WeeklyNumber of hours devoted during trading hours: 0Duties: Part of the alumni class , 35th year reunion committee that is tasked with raising money for the University endowment and annual fundI*: 2508263Entity Type: Fiduciary roleName of OBA: G. B. B.Address: Milan, MI 20121Investment Related: NoPosition, Title, Association: Power of Attorney Employee Start Date: 5/6/2025Number of Hours: 0Number of Hours during trading: 0 Duties: Power of Attorney for MotherI*2629273, Entity Type: , Name of OBA: Rental Property 1, Address: Tucson, Arizona, 85718, Investment Related: N, Position, Title, Association: Sole owner, Employee State Date: 09/01/2025, No Hours: 12 Yearly, No Hours during Trading: 1 Yearly, Duties: I*2629274, Entity Type: , Name of OBA: Rental Property 2, Address: Phoenix , Arizona, 85018, Investment Related: N, Position, Title, Association: Sole owner, Employee State Date: 08/14/2025, No Hours: 1 Weekly, No Hours during Trading: 1 Weekly, Duties:I*2704284Entity Type: For ProfitName of OBA: AZ Real Estate LIcenseAddress:Phoenix ArizonaInvestment Related:NoPosition, Title, Association:Consultant/Independent ContractorStart Date:09/30/2025No Hours: 5 YearlyNo Hours during trading:0 YearlyDuties:To save on commissions and access the MLS system for rentals and purchases and sales of real estateSalesperson is the title I*5454269 Entity Type: N/A Name of OBA: B L B Address: Phoenix, Arizona, 85018 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 08/18/2026 Number of Hours: 1, Monthly Number of Hours during trading: 0, Monthly Duties: N/A

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-10-11
  • S66 Uniform Combined State Law Examination
    2000-10-11
Other Names
  • Ruggero Enrico Borletti
  • Ruggero Borletti
  • Ruggero Enrico Borletti Dell'ACqua

View on SEC IAPD

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