RR
Ross J. Runfola
MERCER ALLIED COMPANY, L.P.
Cohoes, NY 12047
Some features on this profile are disabled
CRD#: 3217825
RR
Professional summary
Ross J Runfola, who also goes by Ross James Runfola, is a registered financial professional currently at MERCER ALLIED COMPANY, L.P. located in Cohoes, New York.
Ross is registered as a RR (Registered Representative) and started their career in finance in 1999. Ross has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ross James Runfola
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.
CRS (Client Relationship Summary) - BD
Click below to view Ross J Runfola's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 17, 1999 - Present
MERCER ALLIED COMPANY, L.P.
Office #1: 100 Coliseum Drive, Cohoes, NY 12047BD
CRD#: 37404
Cohoes, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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Alabama(12/20/2006)
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Alaska(12/20/2006)
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Arizona(12/20/2006)
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Arkansas(12/20/2006)
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California(12/20/2006)
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Colorado(12/20/2006)
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Connecticut(12/20/2006)
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Delaware(12/20/2006)
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District of Columbia(12/20/2006)
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Florida(12/20/2006)
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Georgia(12/20/2006)
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Hawaii(12/20/2006)
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Idaho(12/20/2006)
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Illinois(12/20/2006)
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Indiana(12/20/2006)
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Iowa(12/20/2006)
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Kansas(12/20/2006)
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Kentucky(12/20/2006)
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Louisiana(12/20/2006)
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Maine(12/20/2006)
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Maryland(12/20/2006)
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Massachusetts(12/20/2006)
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Michigan(12/20/2006)
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Minnesota(12/20/2006)
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Mississippi(12/20/2006)
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Missouri(12/20/2006)
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Montana(12/20/2006)
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Nebraska(12/20/2006)
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Nevada(12/20/2006)
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New Hampshire(12/20/2006)
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New Jersey(12/11/2006)
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New Mexico(12/20/2006)
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New York(3/17/2004)
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North Carolina(1/3/2007)
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North Dakota(12/20/2006)
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Ohio(12/20/2006)
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Oklahoma(12/20/2006)
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Oregon(12/20/2006)
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Pennsylvania(12/20/2006)
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Rhode Island(12/20/2006)
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South Carolina(12/20/2006)
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South Dakota(12/20/2006)
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Tennessee(12/20/2006)
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Texas(12/20/2006)
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Utah(12/20/2006)
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Vermont(12/20/2006)
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Virginia(12/20/2006)
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Washington(12/20/2006)
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West Virginia(12/20/2006)
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Wisconsin(12/20/2006)
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Wyoming(12/20/2006)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
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FINRA
Current Firm
MA
MERCER ALLIED COMPANY, L.P.
MERCER ALLIED COMPANY, L.P.
CRD#: 37404 / SEC#: , 8-47739
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
100 Coliseum Drive, Cohoes, NY 12047
Mailing Address
100 Coliseum Drive, Cohoes, NY 12047
Phone number
(518) 886-4000
Established
Delaware since 10/11/1994
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GOLDMAN SACHS WEALTH SERVICES, L.P. | SOLE LIMITED PARTNER | 106693 |
| GS AYCO HOLDING LLC | GENERAL PARTNER | |
| HALL, LARIK MARSHALL | PRESIDENT | 2634322 |
| KINOWSKI, KYLE T | VICE PRESIDENT | 4277862 |
| LUKS, SHELLEY M | VP & CHIEF FINANCIAL OFFICER | 6004389 |
| NASS, JEREMY PAUL | VP & CHIEF OPERATIONS OFFICER | 4244509 |
| RYAN, DIANA ELIZABETH | VP & CHIEF COMPLIANCE OFFICER | 2780148 |
| VOLSKY, MELISSA C | VICE PRESIDENT | 4648752 |
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.
