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AR

Albert Ragusa

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CRD#: 370163
AR

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.

Albert Ragusa was a registered financial professional .

Albert is a previously registered financial professional and started their career in finance in 1970. Albert had worked at 8 firms and has passed the Series 5, Series 4, Series 00 and Series 12 exams.

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 13, 1999 - April 4, 2000

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

September 20, 1988 - August 8, 1998

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

January 31, 1980 - July 28, 1988

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

April 23, 1976 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640
Past

July 9, 1974 - May 8, 1976

NATIONAL SECURITIES & RESEARCH CORPORATION

BD
CRD#: 614
Past

July 2, 1973 - June 15, 1974

DUPONT WALSTON, INCORPORATED

BD
CRD#: 870
Past

August 26, 1971 - November 15, 1973

DUPONT GLORE FORGAN INCORPORATED

BD
CRD#: 1000007
Past

December 21, 1970 - September 2, 1971

PRESSMAN, FROHLICH & FROST, INC.

BD
CRD#: 675

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

General Industry/Product Exam
RR
Series 5
Date: 12/12/1981
Interest Rate Options Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/1/1980
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 2/20/1975
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 12
Date: 4/8/1969
NYSE Branch Manager Examination

Current Firm

BO
BANC OF AMERICA SECURITIES LLC
BANC OF AMERICA SECURITIES LLC | NCNB CAPITAL MARKETS, INC. | NATIONSBANC MONTGOMERY SECURITIES, INC. | NATIONSBANC MONTGOMERY SECURITIES LLC | NATIONSBANC CAPITAL MARKETS, INC.

CRD#: 26091 / SEC#: , 8-42263

BD
Terminated by SEC on 01/27/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/03/1997
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MERRILL LYNCH & CO., INC.SHAREHOLDER
GUARDINO, JOSEPH ANTHONY JRCHIEF OPERATIONS OFFICER2907957
MONTAG, THOMAS KELLCEO/MANAGER1474696
QUTUB, ROBERTCFO4623123
RADEST, MICHAEL BENJAMINCHIEF COMPLIANCE OFFICER-BROKER DEALER1687387

Disclosures

Regulatory Event88
Civil Event2
Arbitration3

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

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

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