Alan F. Ruggiero
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2015 - May 19, 2016
CLEARVIEW TRADING ADVISORS, INC.
October 5, 2011 - September 30, 2013
B. RILEY WEALTH MANAGEMENT
August 3, 2010 - June 24, 2011
KEPLER CAPITAL MARKETS, INC.
December 1, 2008 - August 2, 2010
H.C.WAINWRIGHT & CO., LLC
August 4, 2008 - November 28, 2008
G-2 TRADING,LLC
April 20, 2006 - July 31, 2008
STERNE, AGEE & LEACH, INC.
December 6, 2005 - April 13, 2006
MESIROW FINANCIAL, INC.
October 17, 2001 - January 4, 2006
ADVEST, INC.
September 26, 2001 - October 9, 2001
REDWOOD BROKERAGE LLC
August 28, 1996 - September 25, 2001
NATIVE NATIONS SECURITIES, INC.
May 26, 1994 - May 7, 1996
NOMURA SECURITIES INTERNATIONAL, INC.
July 22, 1989 - June 3, 1994
CITIGROUP GLOBAL MARKETS INC.
March 17, 1989 - August 16, 1989
THOMSON MCKINNON SECURITIES INC.
September 27, 1988 - March 13, 1989
PRINTON, KANE GOVERNMENT SECURITIES, INC.
September 24, 1985 - March 13, 1989
PRINTON KANE & CO., L.P.
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
CLEARVIEW TRADING ADVISORS, INC.
CRD#: 142873 / SEC#: , 8-67501
Contact information
FINRA licenses (2 States and Territories)
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.
