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Judy Marie Ruiz

Robert W. Baird & Co. Incorporated

Roseville, CA

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Current Employers
Robert W. Baird & Co. Incorporated

777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-06-22
  • CA RA
    APPROVED
    Since 2020-06-22

Branch Locations

1400 Rocky Ridge Drive Suite 250, Roseville, CA 95661 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Roseville CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Roseville CA 11/2016 06/2020
Robert W Baird Roseville CA 06/2020 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors, Llc
    Roseville, CA
  • 11/2016 → 06/2020
    Wells Fargo Clearing Services, Llc
    Roseville, CA
  • 06/2020 → Present
    Robert W Baird
    Roseville, CA
Previous Registrations
  • 2008-07-18 → 2020-06-25
    Wells Fargo Clearing Services, Llc
    Sacramento, CA
    Roseville, CA
    Sacramento, CA
    Roseville, CA
    Roseville, CA
    Roseville, CA
    Santa Rosa, CA
    Roseville, CA
  • 2004-04-21 → 2008-06-19
    Wells Fargo Investments, Llc
    Roseville, CA
    Roseville, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-08
S63 Uniform Securities Agent State Law Examination 1999-08-19
  • S65 Uniform Investment Adviser Law Examination
    1999-11-08
  • S63 Uniform Securities Agent State Law Examination
    1999-08-19
Other Names
  • Judy Marie Abellon
  • Judy Marie Ruiz
  • Judy Ruiz

View on SEC IAPD

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Other Offices

DCA FAMILY OFFICE, LLC · ROSEVILLE, CA
DCA MANAGEMENT COMPANY, INC. · ROSEVILLE, CA
MUTUAL ADVISORS, LLC · Roseville, CA
DCA FAMILY OFFICE, LLC · Roseville, CA
COMMONWEALTH FINANCIAL NETWORK · Roseville, CA
EDWARD JONES · ROSEVILLE, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Roseville, CA
MERCER GLOBAL ADVISORS INC. · ROSEVILLE, CA

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