RR
Richard L. Ruggiero
PERSHING LLC
New York, NY 10286
Some features on this profile are disabled
CRD#: 1343982
RR
Professional summary
Richard Louis Ruggiero, who also goes by Richard Louis Ruggiero Sr, Richard Louis Ruggiero, Richie Ruggiero, is a registered financial professional currently at PERSHING LLC located in New York, New York and BNY MELLON CAPITAL MARKETS, LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 6 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard Louis Ruggiero Sr | Richard Louis Ruggiero | Richie Ruggiero
Other business activities
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard Louis Ruggiero's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 9, 2005 - Present
PERSHING LLC
Office #1: 240 Greenwich Street, New York, NY 10286BD
CRD#: 7560
New York, NY
Current
July 18, 2025 - Present
BNY MELLON CAPITAL MARKETS, LLC
Office #1: 240 Greenwich Street, New York, NY 10286BD
CRD#: 17454
New York, NY
Past
January 2, 2014 - August 7, 2017
BNY MELLON CAPITAL MARKETS, LLC
BD
CRD#: 17454
NEW YORK, NY
Past
March 24, 2004 - September 9, 2005
PERSHING ADVISOR SOLUTIONS LLC
BD
CRD#: 36671
JERSEY CITY, NJ
Past
March 31, 1999 - June 6, 2003
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
November 15, 1996 - March 31, 1999
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
Past
December 9, 1994 - November 26, 1996
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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Alabama(2/2/2010)
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Alaska(2/2/2010)
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Arizona(2/2/2010)
RR
Arkansas(2/2/2010)
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California(2/2/2010)
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Colorado(2/2/2010)
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Connecticut(2/2/2010)
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Delaware(2/2/2010)
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District of Columbia(2/2/2010)
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Florida(2/2/2010)
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Georgia(2/2/2010)
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Hawaii(2/2/2010)
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Idaho(2/2/2010)
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Illinois(2/2/2010)
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Indiana(2/2/2010)
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Iowa(2/2/2010)
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Kansas(2/2/2010)
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Kentucky(2/2/2010)
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Louisiana(2/2/2010)
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Maine(2/2/2010)
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Maryland(2/2/2010)
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Massachusetts(2/2/2010)
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Michigan(2/2/2010)
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Minnesota(2/2/2010)
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Mississippi(2/2/2010)
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Missouri(2/2/2010)
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Montana(2/2/2010)
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Nebraska(2/2/2010)
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Nevada(8/19/2025)
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New Hampshire(2/2/2010)
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New Jersey(9/9/2005)
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New Mexico(2/2/2010)
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New York(9/9/2005)
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North Carolina(2/2/2010)
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North Dakota(2/2/2010)
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Ohio(2/2/2010)
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Oklahoma(2/2/2010)
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Oregon(2/2/2010)
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Pennsylvania(2/2/2010)
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Puerto Rico(2/2/2010)
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Rhode Island(2/2/2010)
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South Carolina(2/2/2010)
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South Dakota(2/2/2010)
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Tennessee(2/2/2010)
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Texas(2/2/2010)
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Utah(2/2/2010)
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Vermont(2/2/2010)
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Virgin Islands(2/9/2022)
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Virginia(2/2/2010)
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Washington(2/2/2010)
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West Virginia(2/2/2010)
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Wisconsin(2/2/2010)
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Wyoming(2/2/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 7/31/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/7/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
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Nasdaq Stock Market
SRO Registrations
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New York Stock Exchange
Current Firm
BM
BNY MELLON CAPITAL MARKETS, LLC
BNY CAPITAL MARKETS | MELLON INVESTMENT PRODUCTS COMPANY | MELLON FINANCIAL SERVICES CORPORATION | MELLON FINANCIAL MARKETS, LLC | MELLON FINANCIAL MARKETS, INC. | BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454 / SEC#: , 8-35255
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
240 Greenwich Street, New York, NY 10286
Mailing Address
240 Greenwich Street 3rd Floor, New York, NY 10286
Phone number
(212) 815-4972
Established
Delaware since 12/29/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER | |
| BARYSH, ROBERT PHILIP | CHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER | 2800329 |
| DUFFANY, STEPHEN JOHN | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2535640 |
| GOODHEART, JOHN | BOARD OF MANAGERS | 2419623 |
| HIGGINS, ALISON MATTHESEN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 6718782 |
| KLINGER, DANIEL ADAM | BOARD OF MANAGERS | 2983871 |
| LYNCH, ROBERT E | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 2981333 |
| MCCORMICK, JEFFREY | BOARD OF MANAGERS | 5261504 |
| SKOKO, DRAGAN | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 4394961 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 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.
