Mitch Wales Ruibal

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2008 → Present
  Lpl Financial, Llc
  San Diego, CA

Other Businesses

1. 3/24/2008 - Ruibal Wealth Management - Investment Related - At Reported Business Location(s) - Non-Variable Insurance DBA - Time Spent 5% - Sell fixed term, fixed whole life, fixed annuities and health insurance. 2. 4/7/2014: Ruibal Farms, LP - Other-Owner - Time Spent 0% - Part owner of Ruibal Farms, LP. Not involved in the day to day activities and do not derive income. 3. 12/23/2016: No Business Name - Investment Related - Home Based - Real Estate Rental - Start 01/01/2017 - 5 Hours Per Month/0 Hours During Securities Trading - Renting out previous residence. 4. 04/14/2023 - UniversityCityWealth.com - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 02/01/2020 - 40 Hours Per Month/ 40 Hours During Securities Trading 5. 09/22/2023 - Ruibal Wealth Properties - Real Estate Rental - Office Space - Investment Related - At Reported Business Location(s) - Start Date 10/01/2023 - 1 Hour Per Month/ 0 Hours During Securities Trading 6. 01/23/2025- Business Owner- Buying sports cards, primarily on eBay.- Not INV Related- At Reported Business Location(s)- Start date 01/20/2025- 2 Hours Per Month

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-06-10
• S63 Uniform Securities Agent State Law Examination
  2003-08-29