Dino J Ruffa

Current Employers

Employment History

• 10/2007 → 11/2016
  Guardian Life Insurance Co Of America
  Boca Raton, FL
• 10/2007 → 11/2016
  Park Avenue Securities Llc
  Boca Raton, FL
• 11/2016 → 05/2021
  Park Avenue Securities
  West Palm Beach, FL
• 07/2021 → 06/2024
  Securities America, Inc
  West Palm Beach, FL
• 07/2021 → 06/2024
  Securities America Advisors
  West Palm Beach, FL
• 06/2024 → Present
  Osaic Wealth, Inc.
  West Palm Beach, FL

Previous Registrations

• 2021-07-27 → 2024-06-14
  Securities America Advisors, Inc.
  West Palm Beach, FL
• 2013-06-13 → 2021-08-04
  Park Avenue Securities Llc
  Miami, FL
  West Palm Beach, FL
  Boca Raton, FL
  Miami, FL
  Boca Raton, FL

Other Businesses

1. D JOHN RUFFA INSURANCE POSITION: owner/agent NATURE: Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 02/01/1992 ADDRESS: 122 COCOPLUM CIRCLE, ROYAL PALM BEACH FL 33411 DESCRIPTION: presentation of insurance products to meet client needs 2. BTR PARKWAY LLC POSITION: managing member NATURE: Real Estate Investment INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 122 COCOPLUM CIRCLE, ROYAL PALM BEACH FL 33411 DESCRIPTION: single purpose entity which I am the owner that invests in passive commercial real estate, originally established in 2020 and went unused until April 2021 3. UPWARD WEALTH GROUP LLC POSITION: Managing Partner 50% Owner NATURE: Upward Wealth Group LLC is an entity formed to market and promote our financial planning business. It is the primary and only name used for these purposes. INVESTMENT RELATED: Yes NUMBER OF HOURS: 170 SECURITIES TRADING HOURS: 150 START DATE: 07/21/2021 ADDRESS: 2005 Vista Parkway, Suite 112, West Palm Beach FL 33411 DESCRIPTION: Financial Planning services, including advisory, insurance sales, consulting, securities transactions and trading. 4. BTR CARDINAL LLC POSITION: Owner of entity that invests in rental property NATURE: Entity that invests in rental real estate INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/20/2022 ADDRESS: 122 cocoplum cr, royal palm bch FL 33411 DESCRIPTION: investment in real estate 5. PLUM APPLE LLC POSITION: managing member NATURE: Real Estate Investment INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2018 ADDRESS: 122 COCOPLUM CIRCLE, ROYAL PALM BEACH FL 33411 DESCRIPTION: ownership interest in a single purpose entity that invests in commercial real estate. 6. GLENJOHN ENTERPRISES LLC POSITION: managing member NATURE: Real Estate Investment INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2016 ADDRESS: 122 COCOPLUM CIRCLE, ROYAL PALM BEACH FL 33411 DESCRIPTION: Single purpose entity that invests in commercial real estate

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-03-11
• S63 Uniform Securities Agent State Law Examination
  2001-12-11

Other Names

• Dino John Ruffa