Ralph Giugliano
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.
Ralph Giugliano was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1986. Ralph had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2023 - April 24, 2025
QUASAR DISTRIBUTORS, LLC
May 21, 2020 - August 16, 2022
CEROS FINANCIAL SERVICES, INC.
March 6, 2020 - May 26, 2020
INTERNATIONAL ASSETS ADVISORY, LLC
March 23, 2015 - February 6, 2019
GRIFFIN CAPITAL SECURITIES, LLC
June 18, 2014 - March 30, 2015
ARES WEALTH MANAGEMENT SOLUTIONS, LLC
August 18, 2010 - July 18, 2014
FS INVESTMENT SOLUTIONS, LLC
March 15, 2005 - August 31, 2010
PROVASI CAPITAL PARTNERS LP
June 10, 2004 - April 1, 2005
CURIAN CAPITAL, LLC
January 21, 2003 - April 1, 2005
INVESTMENT CENTERS OF AMERICA, INC.
April 26, 2001 - October 29, 2002
VERAVEST INVESTMENTS, INC.
February 14, 1997 - January 30, 2001
IDS LIFE INSURANCE COMPANY
February 14, 1997 - January 30, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
December 16, 1994 - May 16, 1996
CONSECO SECURITIES, INC.
June 10, 1992 - January 5, 1994
FISCO EQUITY, INC.
December 17, 1990 - August 14, 1991
MARKETING ONE SECURITIES, INC.
June 27, 1986 - June 3, 1989
FORESTERS FINANCIAL SERVICES, 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
Current Firm
QUASAR DISTRIBUTORS, LLC
CRD#: 103848 / SEC#: , 8-52323
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER/TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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