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Francesco Ambruoso

VP DISTRIBUTORS LLC
Hartford, CT 06103
Some features on this profile are disabled
CRD#: 4412457
FA

Professional summary

Francesco Ambruoso is a registered financial professional currently at VP DISTRIBUTORS LLC located in Hartford, Connecticut.

Francesco is registered as a RR (Registered Representative) and started their career in finance in 2001. Francesco has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 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) - BD

Click below to view Francesco Ambruoso'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®
None

Experience

Current

June 8, 2015 - Present

VP DISTRIBUTORS LLC

Office #1: One Financial Plaza, Hartford, CT 06103
BD
CRD#: 3036
Hartford, CT
Past

April 15, 2014 - June 4, 2015

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
HARTFORD, CT
Past

November 14, 2011 - April 8, 2014

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
BLOOMFIELD, CT
Past

May 17, 2007 - November 11, 2011

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
BLOOMFIELD, CT
Past

April 1, 2006 - May 14, 2009

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
BLOOMFIELD, CT
Past

November 14, 2002 - June 18, 2007

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
HARTFORD, CT
Past

August 10, 2001 - October 1, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
Connecticut
(6/8/2015)
RR
Illinois
(7/10/2015)
RR
Ohio
(7/10/2015)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/29/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 1/31/2002
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/9/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VD
VP DISTRIBUTORS LLC
PHOENIX EQUITY PLANNING CORPORATION | VP DISTRIBUTORS LLC | VP DISTRIBUTORS INC

CRD#: 3036 / SEC#: , 8-14100

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

Main Address
One Financial Plaza, Hartford, CT 06103
Mailing Address
One Financial Plaza, Hartford, CT 06103
Phone number
(860) 503-1348
Established
Delaware since 09/30/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
VIRTUS PARTNERS, INCSOLE MEMBER
BACHRACH, IANSENIOR MANAGING DIRECTOR, MARKETING2797509
BICKS, MICHAEL WAYNEMANAGING DIRECTOR, DISTRIBUTION INTELLIGENCE5450963
DANOS, CHRISTOPHER ROBERTMANAGING DIRECTOR, NATIONAL ACCOUNTS2716625
FRANCO, THOMAS RICHARDSENIOR MANAGING DIRECTOR, RETAIL SALES2651546
GRISWOLD, HEIDI CHRISTINEVICE PRESIDENT, FUND SERVICES2304631
HANLEY, DAVID GEORGE JRSENIOR VICE PRESIDENT AND TREASURER5455435
KATZ, DAVID JAYSENIOR MANAGING DIRECTOR, INSTITUTIONAL2813039
MACCONE, JOSEPH EDMUNDSENIOR MANAGING DIRECTOR, STRATEGIC DISTRIBUTION4273677
MANDINACH, BARRY MITCHELLEXECUTIVE VICE PRESIDENT1234185
MAROSITS, TIFFANY PAIGEVICE PRESIDENT, SENIOR REGULATORY COUNSEL AND ASSISTANT SECRETARY6507868
PERLMAN, DIANA MARIECHIEF COMPLIANCE OFFICER2555302
PURKALITIS, ANDRA CYNTHIAEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY3070864

Disclosures

Regulatory Event1
Bond3

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

VP DISTRIBUTORS LLC

CRD#: 3036Hartford, CT 06103

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