Daniel V. Rufo
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.
Daniel Vincent Rufo was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1987. Daniel had worked at 9 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
April 15, 2015 - January 9, 2017
INTERNATIONAL ASSETS ADVISORY, LLC
June 11, 2014 - April 15, 2015
J.P. TURNER & COMPANY, L.L.C.
January 18, 2012 - June 13, 2012
LPL FINANCIAL LLC
December 15, 2011 - June 18, 2014
LPL FINANCIAL LLC
October 31, 2005 - December 19, 2011
OSAIC SERVICES, INC.
April 12, 2004 - October 31, 2005
SENTRA SECURITIES CORPORATION
October 25, 2002 - April 19, 2004
CITIGROUP GLOBAL MARKETS INC.
January 26, 1999 - April 19, 2004
CITIGROUP GLOBAL MARKETS INC.
June 8, 1994 - January 28, 1999
M. J. WHITMAN, INC.
July 2, 1990 - June 7, 1994
HYM FINANCIAL, INC.
March 17, 1989 - July 13, 1990
FUNDS DISTRIBUTOR, LLC
March 9, 1987 - June 7, 1994
HYM FINANCIAL, INC.
Primary Firm SEC Registration
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
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
INTERNATIONAL ASSETS ADVISORY, LLC
CRD#: 10645 / SEC#: 801-119029, 8-27736
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PECUNIA MANAGEMENT, LLC | OWNER | |
| COFRANCESCO, EDWARD RICHARD | CEO | 2305035 |
| LAMPMAN, MATTHEW EDWARD | PRESIDENT/CHIEF OPERATING OFFICER | 6132493 |
| MOORE, ANN KATHERINE | CHIEF BUSINESS DEVELOPMENT OFFICER | 5535928 |
| NICHOLSON, MYRA PEARLE | CHIEF LEGAL OFFICER, CHIEF RISK OFFICER | 2740029 |
| WEINBERGER, DAVID S | REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER | 2676116 |
| WEISS, RICHARD JAY | CHIEF COMPLIANCE OFFICER, CHIEF AML CCO | 2523174 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
