Karl A. Ruggeberg
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.
Karl Artur Ruggeberg was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1985. Karl had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 62, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2011 - June 5, 2015
CHATSWORTH SECURITIES LLC
November 2, 1995 - April 1, 2009
PARAMOUNT BIOCAPITAL, INC.
March 16, 1992 - December 2, 1992
SEARLE & CO.
December 2, 1988 - March 19, 1990
DEUTSCHE BANK CAPITAL CORPORATION
May 16, 1988 - October 25, 1988
TRADESTAR INVESTMENTS,INC.
February 18, 1986 - May 20, 1988
SERFIN SECURITIES,INC.
April 24, 1985 - October 8, 1985
TRADESTAR INVESTMENTS,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 62
Date: 10/18/1995
Corporate Securities Limited Representative ExaminationCurrent Firm
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory Event | 1 |
Red Flags
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