Pasquale J. Ruotolo
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.
Pasquale James Ruotolo, who also goes by Pat Ruotolo, was a registered financial professional .
Pasquale is a previously registered financial professional and started their career in finance in 2012. Pasquale had worked at 2 firms and has passed the Series 99 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2012 - September 13, 2013
LAIDLAW & COMPANY (UK) LTD.
June 9, 2012 - October 12, 2012
EKN FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
