Baltasar Ruiz

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2026-06-01

CA RA
APPROVED

Since 2026-06-01

Branch Locations

Anaheim, CA • United States

620 Newport Ctr Dr Suite 900, Newport Beach, CA 92660 • 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

Organization	City	State	From	To
Raymond James & Associate Inc.	Los Angeles	CA	04/2023	11/2025
Raymond James & Associate Inc.	Newport Beach	CA	11/2025	Present
Deutsche Bank	Santa Ana	CA	08/2022	04/2023
Bank Of America	Santa Ana	CA	04/2020	08/2022
T-Mobile	Santa Ana	CA	09/2014	03/2020
Asurion Insurance Services Inc	Buena Park	CA	03/2024	Present
Oasis Outsourcing	Tustin	CA	10/2024	Present

04/2023 → 11/2025

Raymond James & Associate Inc.

Los Angeles, CA
11/2025 → Present

Raymond James & Associate Inc.

Newport Beach, CA
08/2022 → 04/2023

Deutsche Bank

Santa Ana, CA
04/2020 → 08/2022

Bank Of America

Santa Ana, CA
09/2014 → 03/2020

T-Mobile

Santa Ana, CA
03/2024 → Present

Asurion Insurance Services Inc

Buena Park, CA
10/2024 → Present

Oasis Outsourcing

Tustin, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-05-29

S66 Uniform Combined State Law Examination

2026-05-29

Other Names

Baltazar Ruiz

View on SEC IAPD