Gregg A. Farrauto

FARRAUTO WEALTH MANAGEMENT,

New York, NY 10006

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CRD#: 1894541

Professional summary

Gregg Andrew Farrauto, AIF®, who also goes by Gregg A Farrauto, is a registered financial advisor currently at FARRAUTO WEALTH MANAGEMENT, INC located in New York, New York.

Gregg is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Gregg has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gregg A Farrauto

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.

1. Farrauto Asset Management DBA Farrauto Management Wealth - 77 Water Street,8th Floor, New York, NY 10005 - 11/2009 - NIR - Fixed Insurance Sales, Independent Insurance agent that sells health, DI, LTC and Life insurance TPA for association plan. - Insurance agent. Needs based to help client achieve their goals - S-Corp - 20-25 hrs/mo trading 2. Farrauto Asset Management DBA Farrauto Management Wealth - 77 Water Street, 8th Floor, New York, NY 10005 - 01/2018 - NIR - Coaching & Consulting - coaching relationship with regards to provide one off advice as needed. Coaching & Consulting that may no be financial in nature and maybe entrepreneurial. Non clients who would like advice on their other business. - S-Corp - 15-20 hrs/mo trading 3. Farrauto Asset Management DBA Farrauto Management Wealth - 77 Water Street, 8th Floor, New York, NY 10005 - 11/2019 - Investment Related - RIA with New York State, prepares financial plans for fee. RIA with NY State and prepares financial plans for a fee - S-Corp - 32 hrs/mo trading 4. Farrauto Asset Management DBA Farrauto Management Wealth-165 Broadway, 23rd Floor, New York, NY 10006- 01/2021 Investment Related - RIA with New York State, prepares financial plans for fee. RIA with NY State and prepares financial plans for a fee - S-Corp - 32 hrs/mo trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregg Andrew Farrauto's 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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

April 3, 2022 - Present

FARRAUTO WEALTH MANAGEMENT, INC

Office #1: One Liberty Plaza 165 Broadway 23rd Floor, New York, NY, 10006

RIA

CRD#: 28761

GREEN ACRES, FL

Past

February 27, 1996 - March 28, 1997

CRESSIDA CAPITAL, INC

CRD#: 32352

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(4/3/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/30/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/30/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/12/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/24/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/27/2002

General Securities Principal Examination

Current Firm

FARRAUTO WEALTH MANAGEMENT, INC

CRD#: 129684 / SEC#:

New York

Registered Investment Advisory firm - (1/30/2004 Approved)

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Contact information

Main Address

One Liberty Plaza 165 Broadway 23rd Floor, New York, NY, 10006

Mailing Address

Phone number

(212) 858-9254

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	139
AUM (Assets Under Management)	$ 27,460,362

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.

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Firm Stability Insights

Gregg A. Farrauto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregg Andrew Farrauto's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES SERVICE NETWORK, LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

LPL FINANCIAL LLC

PRUDENTIAL EQUITY GROUP, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

PACIFIC CORTEZ SECURITIES INCORPORATED

CAPITAL PLANNING ASSOCIATES, INC.

PACIFIC CORTEZ SECURITIES INCORPORATED

ROYAL PALM INVESTMENTS, LTD.

CRESSIDA CAPITAL, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/30/1999

Series 63

Date: 11/30/1995

SIE

Date: 1/12/2018

Series 7

Date: 11/24/1995

Series 24

Date: 9/27/2002

Current Firm

FARRAUTO WEALTH MANAGEMENT, INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FARRAUTO WEALTH MANAGEMENT, INC

TRUST BUT VERIFY

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