Susan Gucciardo-filingeri
Professional summary
Susan Gucciardo-filingeri, who also goes by Susan Filingeri, Susan Gucciardo, is a registered financial professional currently at GARDEN STATE SECURITIES, INC. located in Red Bank, New Jersey.
Susan is registered as a RR (Registered Representative) and started their career in finance in 1987. Susan has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Susan Gucciardo-filingeri's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 6, 2010 - Present
GARDEN STATE SECURITIES, INC.
Office #1: 328 Newman Springs Road, Red Bank, NJ 07701January 22, 1996 - September 8, 2001
PRUDENTIAL EQUITY GROUP, LLC
July 17, 1990 - February 24, 1994
CITIGROUP GLOBAL MARKETS INC.
February 18, 1988 - June 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
November 25, 1987 - February 18, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/6/2010)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 5/8/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
GARDEN STATE SECURITIES, INC.
CRD#: 10083 / SEC#: , 8-25790
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMBROSINO, RAYMOND EDWARD | DIRECTOR/SHAREHOLDER | 2070784 |
| DEROSA, KEVIN JOHN | DIRECTOR/SHAREHOLDER | 2314895 |
| PERROTTO, LOUIS LUCKY JR | DIRECTOR/SHAREHOLDER/CHIEF EXECUTIVE OFFICER | 3053498 |
| SARI, SCOTT HENRY | DIRECTOR/SHAREHOLDER | 2226426 |
| MALONE, PATRICK ANTHONY | CHIEF SUPERVISORY OFFICER | 2143703 |
| MCMULLIN, ROBERT | CHIEF FINANCIAL OFFICER | 1540045 |
| TRIGILI, STEVEN DAVID | CHIEF COMPLIANCE OFFICER | 2232496 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 3 |
Red Flags
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