William A. Abbruzzese
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.
William Anthony Abbruzzese, who also goes by William Abbrussese, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2011 - November 4, 2020
TERRA CAPITAL MARKETS LLC
May 12, 2010 - December 2, 2010
LIGHTSTONE SECURITIES, LLC
September 15, 2004 - December 23, 2008
PGIM INVESTMENTS LLC
December 3, 2003 - December 23, 2008
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 10, 2003 - December 4, 2003
QUICK & REILLY, INC.
June 19, 2001 - December 21, 2001
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 28, 1989 - July 9, 2001
PRUDENTIAL EQUITY GROUP, LLC
January 26, 1984 - October 12, 1989
THOMSON MCKINNON SECURITIES 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
TERRA CAPITAL MARKETS LLC
CRD#: 123762 / SEC#: , 8-65611
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
