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Ruben Cavada

Merrill Lynch, Pierce, Fenner & Smith Incorporated

North Hollywood, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-05-02
CA RA APPROVED 2018-05-01
  • TX RA
    APPROVED_RES
    Since 2018-05-02
  • CA RA
    APPROVED
    Since 2018-05-01

Branch Locations

5025 Lankershim Blvd, North Hollywood, CA 91601 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Westlake Village CA 05/2014 11/2016
Wells Fargo Clearing Services, Llc Westlake Village CA 11/2016 04/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated North Hollywood CA 04/2018 Present
Bank Of America, N.A. North Hollywood CA 04/2018 Present
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
CodeExamDate
S66 Uniform Combined State Law Examination 2011-10-03
S63 Uniform Securities Agent State Law Examination 2005-11-04
  • 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

View on SEC IAPD

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ACAP ASSET MANAGEMENT, INC.
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LPL FINANCIAL LLC

Other Investors

David ALBERT Goldhaber
HRATCH AGAZARYAN
RAFIQ AUSTIN WILEY
PEDRAM AFZAL
JORGE LUIS CABRERA
BRENTLY R YOUNG
Kevin Chang Kyun Pak
Robert Cristian Pavel

Other Offices

OSAIC INSTITUTIONS, INC. · Studio City, CA
WELLS FARGO CLEARING SERVICES, LLC · STUDIO CITY, CA
U.S. BANCORP ADVISORS, LLC · Studio City, CA
XLIV CAPITAL · STUDIO CITY, CA
J.P. MORGAN SECURITIES LLC · STUDIO CITY, CA
ACAP ASSET MANAGEMENT, INC. · STUDIO CITY, CA
EDWARD JONES · STUDIO CITY, CA
LPL FINANCIAL LLC · STUDIO CITY, CA

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