Armand B. Ruggieri
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.
Armand Bennett Ruggieri was a registered financial professional .
Armand is a previously registered financial professional and started their career in finance in 1971. Armand had worked at 5 firms and has passed the Series 1 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
September 8, 1982 - December 31, 2012
CADARET, GRANT & CO., INC.
November 21, 1974 - December 2, 1982
INDEPENDENT FINANCIAL PLANNERS CORPORATION
November 6, 1973 - July 21, 1976
THE FIRST BUFFALO CORPORATION
June 28, 1973 - December 8, 1973
SFC EQUITIES INC.
March 16, 1971 - July 8, 1973
EQUITY FUNDING SECURITIES CORPORATION
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
Series 1
Date: 3/11/1971
Registered Representative ExaminationCurrent Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
