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KR

Kevin J. Ruggiero

Some features on this profile are disabled
CRD#: 2765188
KR

Professional summary

Kevin John Ruggiero was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kevin is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Kevin had worked at 5 firms, which includes ELECTRONIC ACCESS DIRECT INC., AARON CAPITAL INCORPORATED, BAXTER BANKS & SMITH LTD., FAB SECURITIES OF AMERICA INC., SUPPES SECURITIES INC..

top-8-questions

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

January 6, 1999 - April 6, 1999

ELECTRONIC ACCESS DIRECT, INC.

BD
CRD#: 36975
SARASOTA, FL
Past

July 17, 1998 - January 21, 1999

AARON CAPITAL INCORPORATED

BD
CRD#: 28583
COLUMBUS, GA
Past

January 9, 1998 - November 19, 1998

BAXTER BANKS & SMITH, LTD.

BD
CRD#: 40771
ST. PETERSBURG, FL
Past

March 27, 1997 - November 10, 1997

FAB SECURITIES OF AMERICA, INC.

BD
CRD#: 28212
NEW YORK, NY
Past

September 3, 1996 - April 10, 1997

SUPPES SECURITIES, INC.

BD
CRD#: 13722
NYC, 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
RR
Series 63
Date: 9/9/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/30/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/23/1998
General Securities Principal Examination

Current Firm

EA
ELECTRONIC ACCESS DIRECT, INC.
ALLEN DOUGLAS DIRECT, INC. | WORLD CAPITAL GROWTH CORPORATION | G.L. BARRETT & ASSOCIATES, SECURITIES INCORPORATED | ELECTRONIC ACCESS DIRECT, INC. | ELECTRONIC ACCESS DIRECT | EADIRECT, INC.

CRD#: 36975 / SEC#: , 8-47549

BD
Terminated by SEC on 11/24/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 07/01/1994
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BARRETT, RICHARD LEEPRESIDENT/CCO/FINOP2516978
EDWARDS, DONALD WILLIAM JRCHMN/CEO2539678
BERKOWITZ, WILLIAMPREFERRED OWNER
HUGHES, ROBERT KPREFERRED OWNER

Disclosures

Regulatory Event2

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

ELECTRONIC ACCESS DIRECT, INC.

CRD#: 36975

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