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SR

Salvatore F. Ruggiero

Some features on this profile are disabled
CRD#: 2521196
SR

Professional summary

Salvatore Francisco Ruggiero was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Salvatore is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Salvatore had worked at 6 firms, which includes RUSSO SECURITIES INC., WILLIAM SCOTT & CO. L.L.C., MEYERS POLLOCK ROBBINS INC., MONITOR INVESTMENT GROUP INC., ATLANTIC GENERAL FINANCIAL CORP., DICKINSON & CO..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Salvatore Francesco Riggiero | Salvatore Francesco Ruggiero | Salvatore Ruggiero

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

July 31, 1997 - December 11, 1998

RUSSO SECURITIES INC.

BD
CRD#: 14425
STATEN ISLAND, NY
Past

September 9, 1996 - August 18, 1997

WILLIAM SCOTT & CO. L.L.C.

BD
CRD#: 14979
UNION, NJ
Past

August 12, 1996 - September 19, 1996

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
NEW YORK, NY
Past

September 21, 1995 - July 25, 1996

MONITOR INVESTMENT GROUP, INC.

BD
CRD#: 31007
Past

June 8, 1995 - August 25, 1995

ATLANTIC GENERAL FINANCIAL CORP.

BD
CRD#: 27272
Past

September 26, 1994 - July 13, 1995

DICKINSON & CO.

BD
CRD#: 689
DES MOINES, IA

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
RR
Series 63
Date: 9/30/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/1994
General Securities Representative Examination

Current Firm

RS
RUSSO SECURITIES INC.
RUSSO SECURITIES INC.

CRD#: 14425 / SEC#: , 8-24052

BD
Cancelled by SEC on 10/04/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 03/20/1979
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RUSSO, FERDINANDDIR, CROP, SROP, FINOP (5/23/00), CHAIRMAN OF BOARDCO-PRES., SECTY., TREAS., CFO407767
RUSSO, RICHARD ANTHONYDIR, CHAIRMAN OF BOARD, CO-PRESIDENT,1208819

Disclosures

Regulatory Event20
Civil Event1
Arbitration9

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.

Company Information

RUSSO SECURITIES INC.

CRD#: 14425

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