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Craig T. Diruzzo

MAINLINE WEST MUNICIPAL SECURITIES LLC
Denver, CO 80211
Some features on this profile are disabled
CRD#: 4075226
CD

Professional summary

Craig Thomas Diruzzo, who also goes by Craig Diruzzo, is a registered financial professional currently at MAINLINE WEST MUNICIPAL SECURITIES LLC located in Denver, Colorado.

Craig is registered as a RR (Registered Representative) and started their career in finance in 1999. Craig has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Craig Diruzzo

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) - BD

Click below to view Craig Thomas Diruzzo's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 8, 2024 - Present

MAINLINE WEST MUNICIPAL SECURITIES LLC

Office #1: 2237 W. 30th Avenue, Denver, CO 80211
BD
CRD#: 148020
Denver, CO
Past

June 9, 2023 - October 8, 2024

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

January 18, 2013 - March 15, 2023

AQUILA DISTRIBUTORS LLC

BD
CRD#: 1706
NEW YORK, NY
Past

February 3, 2012 - January 31, 2013

BIC DISTRIBUTORS, LLC

BD
CRD#: 152860
PHOENIX, AZ
Past

August 9, 2011 - January 13, 2012

WELLESLEY ASSET MANAGEMENT, INC.

RIA
CRD#: 116176
PORTSMOUTH, NH
Past

March 1, 2011 - January 13, 2012

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
ELKHORN, NE
Past

August 13, 2009 - January 15, 2010

UBS ASSET MANAGEMENT (AMERICAS) LLC

RIA
CRD#: 106838
DENVER, CO
Past

August 19, 2004 - December 31, 2008

UBS ASSET MANAGEMENT (US) INC.

RIA
CRD#: 583
DENVER, CO
Past

November 7, 2002 - December 31, 2009

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
DENVER, CO
Past

March 9, 2000 - October 14, 2002

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

November 26, 1999 - January 28, 2000

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
California
(10/8/2024)
RR
Colorado
(10/8/2024)
RR
Delaware
(10/8/2024)
RR
Florida
(10/8/2024)
RR
Georgia
(10/8/2024)
RR
Illinois
(10/8/2024)
RR
Massachusetts
(10/8/2024)
RR
Michigan
(10/8/2024)
RR
New Jersey
(10/8/2024)
RR
New York
(10/8/2024)
RR
Pennsylvania
(10/8/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/26/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/9/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/5/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/24/1999
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MW
MAINLINE WEST MUNICIPAL SECURITIES LLC
MAINLINE WEST MUNICIPAL SECURITIES LLC

CRD#: 148020 / SEC#: , 8-67952

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
2237 W. 30th Avenue, Denver, CO 80211
Mailing Address
2237 W. 30th Avenue, Denver, CO 80211
Phone number
(720) 536-3380
Established
Delaware since 02/20/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MAINLINE CAPITAL LLCMANAGING MEMBER/MEMBER
CASELLI, ANTHONY SCOTTCHIEF FINANCIAL OFFICER, FINOP & CCO
KREIDLE, BRADLEY JAMESPRESIDENT1755310

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

MAINLINE WEST MUNICIPAL SECURITIES LLC

CRD#: 148020Denver, CO 80211

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