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RD

Ralph Raymond Difiore

CHATSWORTH SECURITIES
GREENWICH, CT
·CRD# 1913027·35 years experience

Professional Summary

Ralph Raymond Difiore, who also goes by Ralph Difiore, is a registered financial advisor currently at CHATSWORTH SECURITIES LLC located in Greenwich, Connecticut. Ralph is registered as a RR (Registered Representative) and started their career in finance in 1992. Ralph has worked at 3 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 3, Series 14 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Ralph Difiore

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

35 years in the financial services industry

Current & Past Employments

CHATSWORTH SECURITIES LLC·CRD# 40804
BD
95 East Putnam Avenue, Greenwich, CT 06830
November 15, 1996 - Present
CHATSWORTH SECURITIES LLC·CRD# 40804
RIA
Pittsburgh, PA
December 18, 2020 - December 20, 2023
OSCAR GRUSS & SON INCORPORATED·CRD# 2091
BD
New York, NY
December 19, 1994 - February 20, 1996
CC INVESTMENT SERVICES, INC.·CRD# 28681
BD
January 6, 1992 - December 9, 1992

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Current Firm

CS
CHATSWORTH SECURITIES LLC

CHATSWORTH SECURITIES LLC | CHATSWORTH SECURITIES, LLC

CRD#: 40804 / SEC#: 801-120061, 8-49199
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)

Contact Information

Main Address

95 East Putnam Avenue, Greenwich, CT 06830

Mailing Address

95 East Putnam Avenue, Greenwich, CT 06830

Phone Number

(203) 629-2612

Established

New York since 03/20/1996

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

# of Employees

30

FINRA licenses (6 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
DIFIORE, RALPH RAYMONDSENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER1913027
MACLEAN, DANIEL CRAWFORDMEMBER—
MATCOVSKY, JOEL JAYMEMBER—
THE ESTATE OF CURTIS E. GOWDYESTATE - MEMBER—
FERROTTA, CAROL ANNFINOP2656465

Disclosures

Regulatory Event

1

Civil Event

1

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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.

MR. DIFIORE IS PRESIDENT OF CHATSWORTH CAPITAL CORPORATION, LOCATED AT 95 EAST PUTNAM AVENUE, GREENWICH, CT 06830. Investment related: Yes. THE BUSINESS WAS FOUNDED IN 1992 AND MR. DIFIORE HAS BEEN INVOLVED WITH THE BUSINESS SINCE THEN. THE APPROXIMATE NUMBER OF HOURS/DAYS DEVOTED TO CHATSWORTH CAPITAL CORPORATION IS 1 DAY A MONTH. From time to time advises individuals regarding investment strategy Hours Per Month: 1 hour Investment Related: Yes Description of Duties: Advice regarding investment strategy Company Name: Milbank Consulting LLC Title: Member Start Date: July 10, 2021 Position: Member Address: 1945 Windward Way, Vero Beach, FL 32963 Nature of Business: Consulting firm advising businesses about solutions to their issues and how to achieve their objectives. Approx. # of Hours per month: Right now, Zero hours but in future perhaps 1 hour a month. Number of Hours devoted to the other business during securities trading hours: see above. Investment Related: No Description of Duties: Discuss agreements, advise clients and make decisions regarding the operation of Milbank. Company Name: Exit Strategy Title/Relationship: Host Start Date: September 2022 Position: Host Address: NA Nature of Business: Podcast Approx. number of hours per month: 3 Number of hours during business hours: 40 Investment Related: No Description: Discuss current events and trends Company Name: NA Title/Relationship: NA Start Date: 9/11/2023 Position: NA Address: 5525 Magnolia Pond Drive, Sarasota, FL Nature of the Business: From time to time, I may advise parties regarding their business or become a board member or introduce people for which I may be paid. Approximate number of hours/month you devote to the other business: 1 Number of hours devoted to the other business during securities trading hours: 30 minutes Description of Duties: From time to time, I may advise parties regarding their business or become a board member or introduce people for which I may be paid.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
California
(12/13/1996)
RR
Connecticut
(5/14/1997)
RR
Florida
(9/1/2009)
RR
Massachusetts
(4/20/1999)
RR
New Jersey
(9/1/2009)
RR
New York
(9/1/2009)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1991About the Series 63 exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 1991About the Series 7 exam

Series 3 — National Commodity Futures Examination

Passed Jan 1991About the Series 3 exam

Series 14 — Compliance Officer Examination

Passed Jan 2023About the Series 14 exam

Series 24 — General Securities Principal Examination

Passed Nov 1996About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Ralph Raymond Difiore's CRS (Customer Relationship Summary).

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