Dominick Ruiz
Dominick Ruiz is a registered investment advisor at LPL Financial LLC, based in San Jose, CA, with 19 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
3031 Tisch Way, 110 Plaza West, San Jose, CA, 95128
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Dominick is involved in several business activities. He sells life insurance through Exclusive Insurance, dedicating minimal time. Dominick also owns Cypress Private Wealth LLC and has an ownership stake in Sage Planning Solutions, spending full-time hours on each.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cadaret Grant & CO INC
Cadaret, Grant & CO., INC.Broker
Strategic Wealth Advisors Group
LPL Financial LLCBroker
Strategic Wealth Advisors Group
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
State Registrations22 states
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.