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Timothy B. Ruggiero

Some features on this profile are disabled
CRD#: 2119642
TR

Professional summary

Timothy Burke Ruggiero was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Timothy is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Timothy had worked at 7 firms, which includes BROOKSHIRE SECURITIES CORPORATION, HAMPSHIRE SECURITIES CORPORATION, JOSEPHTHAL & CO. INC., A.S. GOLDMEN & CO. INC., M.S. FARRELL & COMPANY INC., PARAGON CAPITAL MARKETS INC., D. H. BLAIR & CO. INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 20, 1998 - March 26, 2009

BROOKSHIRE SECURITIES CORPORATION

BD
CRD#: 44347
FT. LAUDERDALE, FL
Past

September 18, 1995 - February 24, 1997

HAMPSHIRE SECURITIES CORPORATION

BD
CRD#: 19725
NEW YORK, NY
Past

December 22, 1993 - October 10, 1995

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

March 26, 1993 - January 6, 1994

A.S. GOLDMEN & CO., INC.

BD
CRD#: 23180
RED BANK, NJ
Past

March 16, 1992 - February 19, 1993

M.S. FARRELL & COMPANY, INC.

BD
CRD#: 24232
SYOSSET, NY
Past

December 3, 1991 - March 19, 1992

PARAGON CAPITAL MARKETS, INC.

BD
CRD#: 18555
EAST HANOVER, NJ
Past

July 22, 1991 - December 14, 1991

JOSEPHTHAL & CO., INC.

BD
CRD#: 3227
NEW YORK, NY
Past

May 9, 1991 - July 15, 1991

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/9/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/20/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 4/24/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/12/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/16/1995
General Securities Principal Examination

Current Firm

BS
BROOKSHIRE SECURITIES CORPORATION
BROOKSHIRE SECURITIES CORPORATION

CRD#: 44347 / SEC#: , 8-50650

BD
Cancelled by SEC on 05/27/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/29/1996
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BROOKSHIRE HOLDINGS, INC.HOLDING COMPANY
PFANNENSTIEL, TONIA JFINOP5125023
RUGGIERO, TIMOTHY BURKEPRESIDENT
RUGGIERO, TIMOTHY BURKECHIEF COMPLIANCE OFFICER2119642

Disclosures

Regulatory Event3
Arbitration3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

BROOKSHIRE SECURITIES CORPORATION

CRD#: 44347

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