Carlos A Ruiz

LPl Financial LLC

Silver Spring, MD

Silver Spring, MD

College Park, MD

Silver Spring, MD

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Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-11-06
DC	RA	APPROVED	2021-06-09
MD	RA	APPROVED	2021-06-09
VA	RA	APPROVED	2021-06-09

TX RA
APPROVED_RES

Since 2024-11-06
DC RA
APPROVED

Since 2021-06-09
MD RA
APPROVED

Since 2021-06-09
VA RA
APPROVED

Since 2021-06-09

Branch Locations

7485 Richmond Hwy., Alexandria, VA 22306 • United States

8730 Georgia Ave., Silver Spring, MD 20910 • United States

2620 Connecticut Ave. Nw, Washington, DC 20008 • United States

12200 Tech Rd., Silver Spring, MD 20904 • United States

5630 Connecticut Ave. Nw, Washington, DC 20015 • United States

3972 Campus Drive, College Park, MD 20742 • United States

Silver Spring, MD • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
M & T Securities	Silver Spring	MD	11/2013	06/2021
M & T Bank	Silver Spring	MD	08/2000	Present
Lpl Financial Llc	Potomac	MD	06/2021	Present

11/2013 → 06/2021

M & T Securities

Silver Spring, MD
08/2000 → Present

M & T Bank

Silver Spring, MD
06/2021 → Present

Lpl Financial Llc

Potomac, MD

Previous Registrations

2017-04-11 → 2021-06-09

M&T Securities, Inc.

Silver Spring, MD

Kensington, MD

Washington, DC

Chevy Chase, MD

Washington, DC

Bethesda, MD

Silver Spring, MD

Bethesda, MD

Potomac, MD

Potomac, MD

Washington, DC

Washington, DC

Greenbelt, MD

Washington, DC

Washington, DC

Washington, DC

Washington, DC

Leesburg, VA

Wheaton, MD

College Park, MD

Baltimore, MD

Other Businesses

1/2018 owner/landlord residential

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-04-10
S63	Uniform Securities Agent State Law Examination	2014-07-12

S65 Uniform Investment Adviser Law Examination

2017-04-10
S63 Uniform Securities Agent State Law Examination

2014-07-12

View on SEC IAPD

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