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AR

Alan F. Ruggiero

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CRD#: 1412359
AR

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.

Alan Frank Ruggiero was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1985. Alan had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 14, 2015 - May 19, 2016

CLEARVIEW TRADING ADVISORS, INC.

BD
CRD#: 142873
TENAFLY, NJ
Past

October 5, 2011 - September 30, 2013

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
NEW YORK, NY
Past

August 3, 2010 - June 24, 2011

KEPLER CAPITAL MARKETS, INC.

BD
CRD#: 139148
NEW YORK, NY
Past

December 1, 2008 - August 2, 2010

H.C.WAINWRIGHT & CO., LLC

BD
CRD#: 375
NEW YORK, NY
Past

August 4, 2008 - November 28, 2008

G-2 TRADING,LLC

BD
CRD#: 44018
NEW YORK, NY
Past

April 20, 2006 - July 31, 2008

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

December 6, 2005 - April 13, 2006

MESIROW FINANCIAL, INC.

BD
CRD#: 2764
NEW YORK, NY
Past

October 17, 2001 - January 4, 2006

ADVEST, INC.

BD
CRD#: 10
HARTFORD, CT
Past

September 26, 2001 - October 9, 2001

REDWOOD BROKERAGE LLC

BD
CRD#: 39416
NEW YORK, NY
Past

August 28, 1996 - September 25, 2001

NATIVE NATIONS SECURITIES, INC.

BD
CRD#: 334
JERSEY CITY, NJ
Past

May 26, 1994 - May 7, 1996

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

July 22, 1989 - June 3, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 17, 1989 - August 16, 1989

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
NEW YORK, NY
Past

September 27, 1988 - March 13, 1989

PRINTON, KANE GOVERNMENT SECURITIES, INC.

BD
CRD#: 17733
Past

September 24, 1985 - March 13, 1989

PRINTON KANE & CO., L.P.

BD
CRD#: 6358

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/6/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/19/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/21/1985
General Securities Representative Examination

Current Firm

CT
CLEARVIEW TRADING ADVISORS, INC.
CLEARVIEW TRADING ADVISORS, INC.

CRD#: 142873 / SEC#: , 8-67501

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
10 Glenwood Road, Tenafly, NJ 07670
Mailing Address
10 Glenwood Road, Tenafly, NJ 07670
Phone number
(201) 803-3125
Established
New York since 10/17/2006
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ETTIN, GREGG HARLEYOWNER1604260
BEATON, DANIEL STEWARTFINOP4240769
WEITZNER, MICHAEL STEVENCEO/CCO1903218

Disclosures

Regulatory Event1

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.

Company Information

CLEARVIEW TRADING ADVISORS, INC.

CRD#: 142873

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