Mark Ruffo is a registered investment advisor, based in San Diego, CA, with 28 years of industry experience.
Location
San Diego, CA
Get directionsHistory
Regulatory History (2)
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Customer Dispute
June 2013Denied
Customer Dispute
February 2008Closed-No Action
Employment History
Current Registrations
Transamerica Investors Securities, LLC
September 2025 - Present · 8 mos
Transamerica Retirement Advisors, LLC
September 2025 - Present · 8 mos
Transamerica Investors Securities, LLCBroker
September 2025 - Present · 8 mos
Previous Registrations
Lincoln Financial Distributors, INC.Broker
May 2024 - September 2025 · 1 yr 4 mos
Lincoln Financial Advisors Corporation
September 2022 - May 2024 · 1 yr 8 mos
Lincoln Financial Advisors CorporationBroker
September 2022 - May 2024 · 1 yr 8 mos
Empower Advisory Group, LLC
February 2022 - September 2022 · 7 mos
Empower Financial Services, INC.Broker
February 2022 - September 2022 · 7 mos
Lincoln Financial Advisors Corporation
April 2017 - February 2022 · 4 yrs 10 mos
Lincoln Financial Advisors CorporationBroker
April 2017 - February 2022 · 4 yrs 10 mos
TD Ameritrade, INC.Broker
March 2017 - April 2017 · 1 mo
Charles Schwab & CO., INC.
September 2000 - September 2015 · 15 yrs
Charles Schwab & CO., INC.Broker
March 2000 - September 2015 · 15 yrs 6 mos
Scudder Investor Services, INC.Broker
May 1996 - February 2000 · 3 yrs 9 mos
State Registrations1 state
CA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.