Joseph J. Ruggiero
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.
Joseph J Ruggiero, who also goes by Joseph John Ruggiero Jr., was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2002. Joseph had worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - May 1, 2018
CIM SECURITIES, LLC
February 18, 2015 - December 6, 2016
ALLIANCEBERNSTEIN L.P.
January 27, 2015 - December 6, 2016
SANFORD C. BERNSTEIN & CO., LLC
September 13, 2002 - July 23, 2004
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
CIM SECURITIES, LLC
CRD#: 120852 / SEC#: , 8-65351
Contact information
FINRA licenses (47 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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