Ernest M. Ruotolo
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.
Ernest Michael Ruotolo JR, who also goes by Ernie Ruorol, Ernie Ruotolo Jr, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1985. Ernest had worked at 16 firms and has passed the Series 63, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2002 - January 27, 2003
PLATINUM INVESTMENT CORP.
January 6, 1999 - March 19, 2001
STOCKTON EQUITIES GROUP
May 8, 1998 - October 26, 1998
LT LAWRENCE & CO., INC.
November 24, 1997 - April 23, 1998
HORNBLOWER & WEEKS, INC.
March 17, 1997 - October 29, 1997
LT LAWRENCE & CO., INC.
October 6, 1995 - May 5, 1997
HORNBLOWER & WEEKS, INC.
May 16, 1995 - August 24, 1995
W.J. GALLAGHER & COMPANY, INC.
August 19, 1994 - March 30, 1995
FAB SECURITIES OF AMERICA, INC.
July 16, 1993 - August 30, 1994
WESTFIELD FINANCIAL CORPORATION
May 21, 1990 - September 7, 1993
AMERICAN BOND GROUP, INC.
September 20, 1989 - May 30, 1991
GSG GLOBAL SECURITIES GROUP INC.
April 5, 1989 - July 14, 1989
BRENNAN ROSS SECURITIES, INC.
January 6, 1989 - March 11, 1989
WINSTON-FROST SECURITIES, INC.
April 28, 1988 - August 22, 1990
LOMBARD SECURITIES CORP.
November 16, 1987 - May 10, 1988
VANDERBILT SECURITIES, INC.
September 8, 1987 - October 29, 1987
PRESTIGE INVESTORS, INC.
July 6, 1987 - August 21, 1987
INVESTMENT BROKERS OF AMERICA
July 15, 1986 - July 6, 1987
PRESTIGE INVESTORS, INC.
February 5, 1985 - July 10, 1986
NORBAY 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
Series 55
Date: 4/4/2000
Limited Representative-Equity Trader ExamCurrent Firm
PLATINUM INVESTMENT CORP.
CRD#: 107211 / SEC#: , 8-53034
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RDC, INC. | OWNER/SHAREHOLDER | |
| ANTONUCCI, DOMINIC | PRESIDENT/SROP/CROP | 3215807 |
Disclosures
| Regulatory Event | 6 |
| Civil 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.
