Ruben Cavada

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

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

Current Employers

Employment History

• 05/2014 → 11/2016
  Wells Fargo Advisors, Llc
  Westlake Village, CA
• 11/2016 → 04/2018
  Wells Fargo Clearing Services, Llc
  Westlake Village, CA
• 04/2018 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  North Hollywood, CA
• 04/2018 → Present
  Bank Of America, N.A.
  North Hollywood, CA

Previous Registrations

• 2014-05-05 → 2018-04-05
  Wells Fargo Clearing Services, Llc
  Westlake Village, CA
  Panorama City, CA
  Encino, CA
  Van Nuys, CA
  Van Nuys, CA
• 2012-10-01 → 2014-05-09
  J.P. Morgan Securities Llc
  North Hills, CA
  Sun Valley, CA
  Van Nuys, CA
  Van Nuys, CA
• 2011-10-13 → 2012-10-01
  Chase Investment Services Corp.
  Los Angeles, CA
  Sun Valley, CA
  North Hills, CA
  Sun Valley, CA

Exams

• S66 Uniform Combined State Law Examination
  2011-10-03
• S63 Uniform Securities Agent State Law Examination
  2005-11-04

Other Names

• Ruben Gamboa Cabada
• Ruben Cavada
• Ruben Gamboa Cavada