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William Anthony Abbruzzese

CRD# 1228090·Registered 1984 - 2020
Previously Registered: Being a previously registered professional could mean that William 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.

Professional Summary

William Anthony Abbruzzese, who also goes by William Abbrussese, was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1984 - 2020. William had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

William Abbrussese

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

42 years in the financial services industry

Current & Past Employments

Past

TERRA CAPITAL MARKETS LLCPast·CRD# 123762
BD
New York, NY
March 1, 2011 - November 4, 2020
LIGHTSTONE SECURITIES, LLCPast·CRD# 132596
BD
Mahwah, NJ
May 12, 2010 - December 2, 2010
PGIM INVESTMENTS LLCPast·CRD# 105670
RIA
Newark, NJ
September 15, 2004 - December 23, 2008
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLCPast·CRD# 18353
BD
Newark, NJ
December 3, 2003 - December 23, 2008
QUICK & REILLY, INC.Past·CRD# 11217
BD
New York, NY
January 10, 2003 - December 4, 2003
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLCPast·CRD# 18353
BD
Newark, NJ
June 19, 2001 - December 21, 2001
PRUDENTIAL EQUITY GROUP, LLCPast·CRD# 7471
BD
New York, NY
September 28, 1989 - July 9, 2001
THOMSON MCKINNON SECURITIES INC.Past·CRD# 829
BD
New York, NY
January 26, 1984 - October 12, 1989

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Current Firm

TC
TERRA CAPITAL MARKETS LLC

GRE SECURITIES LLC | TERRA SECURITIES, LLC | TERRA CAPITAL MARKETS LLC

CRD#: 123762 / SEC#: 8-65611
BD
Terminated by SEC on 12/26/2020

Contact Information

Established

Delaware since 07/01/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
TCM HOLDING COMPANY, LLCOWNER—
HOGAN, MICHAEL FRANCISCHIEF COMPLIANCE OFFICER5535937
SANDERSON, SCOTT ROBERTPRESIDENT2195667
SCARPATI, GERARDFINOP2313132

Disclosures

Regulatory Event

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Sep 2004About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1984About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 1984About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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