John H. Ruggiero
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Henry Ruggiero was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 12 firms and has passed the Series 63, Series 6TO, Series 57TO, Series 52TO, Series 99TO, SIE, Series 55, Series 7, Series 9, Series 10, Series 14, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2015 - December 31, 2023
HSBC SECURITIES (USA) INC.
August 19, 2013 - July 29, 2015
DIGITAL OFFERING LLC
July 14, 2011 - July 29, 2015
A.G.P. / ALLIANCE GLOBAL PARTNERS
October 7, 2010 - August 5, 2011
AXIOM CAPITAL MANAGEMENT, INC.
March 15, 2006 - January 30, 2009
PINERIDGE CAPITAL LLC
September 24, 2003 - August 10, 2004
LADENBURG FINANCIAL SERVICES LLC
October 4, 2001 - November 19, 2002
LADENBURG CAPITAL MANAGEMENT INC.
June 4, 2001 - July 1, 2005
LADENBURG THALMANN & CO. INC.
September 12, 2000 - June 12, 2001
TRAUTMAN WASSERMAN & COMPANY, INC.
July 12, 2000 - August 18, 2000
GMST WORLD MARKETS, INC.
July 12, 2000 - August 22, 2000
PRINCETON SECURITIES CORPORATION
February 7, 2000 - September 19, 2000
KIRLIN SECURITIES INC.
September 22, 1993 - March 6, 2000
LADENBURG THALMANN & CO. INC.
Primary Firm SEC Registration
HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 2/8/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 12/3/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HSBC SECURITIES (USA) INC.
CRD#: 19585 / SEC#: 801-64563, 8-41562
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HSBC MARKETS (USA), INC. | PARENT | |
| BENDER, SETH P | GENERAL COUNSEL | 4547812 |
| BUSCAGLIA, SARA FAYE | DIRECTOR | 4884059 |
| HENDERSON, JASON RYAN | PRESIDENT/CEO/DIRECTOR | 7207400 |
| MEHTA, ORESTA I | DIRECTOR | 7056066 |
| NATALE, DUSTIN | CHIEF COMPLIANCE OFFICER (BD) AND HEAD OF MSS COMPLIANCE | 5581428 |
| PALOMAKI, DANIEL S | INTERIM CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6817317 |
| PECORELLA, ANTHONY | INTERIM HEAD OF OPERATIONS / PRINCIPAL OPERATIONS OFFICER | 1948919 |
| SHAW, IAN G | MANAGING DIRECTOR, HEAD OF US WPB COMPLIANCE AND CHIEF COMPLIANCE OFFICER OF RIA | 7051510 |
Regulatory assets under management
| Total Number of Accounts | 12,180 |
| AUM (Assets Under Management) | $ 3,232,551,904 |
Disclosures
| Regulatory Event | 86 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 12/11/2024 | ||
| 10/20/2023 |
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.
