Ruggero Derossi
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.
Ruggero Derossi was a registered financial professional .
Ruggero is a previously registered financial professional and started their career in finance in 1997. Ruggero had worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2014 - September 6, 2016
FEDERATED INVESTMENT COUNSELING
April 26, 2004 - September 12, 2006
J.P. MORGAN SECURITIES INC.
April 27, 2000 - April 27, 2004
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
September 15, 1998 - March 16, 2000
ABN AMRO SECURITIES LLC
June 19, 1997 - August 10, 1998
CITICORP SECURITIES, INC.
Primary Firm SEC Registration
FEDERATED INVESTMENT COUNSELING
CRD#: 105325 / SEC#: 801-34611
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
Current Firm
FEDERATED INVESTMENT COUNSELING
CRD#: 105325 / SEC#: 801-34611
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,579 |
| AUM (Assets Under Management) | $ 199,641,239,415 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/11/2023 | ||
| 07/29/2022 |
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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