Rosario R. Ruggiero
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rosario Russell Ruggiero, who also goes by Rosario Russel Ruggiero, was a registered financial professional .
Rosario is a previously registered financial professional and started their career in finance in 1982. Rosario had worked at 5 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 1988 - July 13, 1995
TRIPP & CO., INC.
November 9, 1987 - November 19, 1987
HAAS SECURITIES CORPORATION
April 15, 1987 - October 28, 1987
E. F. HUTTON & COMPANY INC
August 6, 1985 - April 13, 1987
EVANS & CO., INC.
December 21, 1983 - August 26, 1985
TRIPP & CO., INC.
December 21, 1982 - October 22, 1984
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRIPP & CO., INC.
CRD#: 6967 / SEC#: , 8-19818
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
