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AR

Alexander J. Ruggieri

DAI SECURITIES
Schaumburg, IL 60173
Some features on this profile are disabled
CRD#: 1685884
AR

Professional summary

Alexander John Ruggieri JR, who also goes by Alexander John Ruggieri Jr, is a registered financial professional currently at DAI SECURITIES, LLC located in Schaumburg, Illinois.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2020. Alexander has worked at 2 firms and has passed the Series 63, Series 22TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alexander John Ruggieri Jr

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) - BD

Click below to view Alexander John Ruggieri JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

April 16, 2024 - Present

DAI SECURITIES, LLC

Office #1: 1827 Walden Office Square Suite 500, Schaumburg, IL 60173
BD
CRD#: 36673
Schaumburg, IL
Past

May 13, 2020 - May 12, 2024

NEXTREND SECURITIES, INC.

BD
CRD#: 43710
Savoy, IL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(11/27/2024)
RR
Florida
(9/12/2024)
RR
Illinois
(4/16/2024)
RR
Montana
(4/16/2024)
RR
New York
(4/16/2024)
RR
North Carolina
(11/27/2024)
RR
Wyoming
(2/12/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/16/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 5/13/2020
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/26/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DAI SECURITIES, LLC
DAI SECURITIES, LLC | LEWIS FINANCIAL GROUP, L.C.

CRD#: 36673 / SEC#: , 8-47393

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345
Mailing Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345
Phone number
(404) 531-7080
Established
Minnesota since 05/31/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DAI HOLDINGS, LLCMEMBER
CC CAPITAL HOLDINGS, LLCMEMBER
MICHAEL O'TOOLE REAL ESTATE, INC.MEMBER
CARTER, ANA RFINOP4424794
INGBER, MATTHEW ALANCOO3261552
MICHALETZ, CHRISTINE ELLENMANAGING MEMBER6004009
MICHALETZ, JOSEPH GERARDCEO1327534
STRAUSS, ERNEST GEORGE IVCCO4660664

Disclosures

Regulatory Event2

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

DAI SECURITIES, LLC

CRD#: 36673Schaumburg, IL 60173

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