Alice Ruiz

CRD 5526482 · Charles Schwab & Co., Inc. · San Diego, CA

IA RegisteredBroker

Also appears in the source record as: Alice Marina

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (4): Arizona · California · Delaware · North Carolina
Years in the industry (source record): 17
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (13)

From the source registration record · current first

Schwab Wealth Advisory, Inc.Current
San Diego, CA · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
San Diego, CA · BC capacity

start not retrieved → present
Strategic Advisers LLC
Mountain View, CA · IA capacity

Mar 31, 2025 → Jul 16, 2025
Fidelity Brokerage Services LLC
Mountain View, CA · BC capacity

Mar 28, 2022 → Jul 16, 2025
Fidelity Personal And Workplace Advisors
Mountain View, CA · IA capacity

Apr 5, 2022 → Mar 31, 2025
J.P. Morgan Securities LLC
San Jose, CA · BC capacity

Jun 5, 2017 → Feb 9, 2022
J.P. Morgan Securities LLC
San Jose, CA · IA capacity

Jun 1, 2017 → Feb 9, 2022
Wells Fargo Clearing Services, LLC
San Jose, CA · IA capacity

Oct 29, 2013 → Jun 1, 2017
Wells Fargo Clearing Services, LLC
San Jose, CA · BC capacity

Oct 28, 2013 → Jun 1, 2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated
San Jose, CA · IA capacity

Oct 23, 2009 → Oct 29, 2013
Merrill Lynch, Pierce, Fenner & Smith Incorporated
San Jose, CA · BC capacity

Oct 23, 2009 → Oct 29, 2013
Banc Of America Investment Services, Inc.
San Jose, CA · IA capacity

Jul 22, 2009 → Oct 23, 2009
Banc Of America Investment Services, Inc.
San Jose, CA · BC capacity

May 6, 2009 → Oct 23, 2009

Source & corrections

Where this page comes from

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