DR
Daniel H. Ruggiero
FRANKLIN DISTRIBUTORS
NEW YORK, NY 10010
Some features on this profile are disabled
CRD#: 5061293
DR
Professional summary
Daniel Henry Ruggiero is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2005. Daniel has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Henry Ruggiero'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®
NoneExperience
Current
October 16, 2007 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: One Madison Avenue, New York, NY 10010BD
CRD#: 109064
NEW YORK, NY
Past
December 13, 2005 - October 22, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
MELVILLE, 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
Alabama(7/24/2017)
RR
Alaska(7/24/2017)
RR
Arizona(7/24/2017)
RR
Arkansas(7/24/2017)
RR
California(7/24/2017)
RR
Colorado(7/24/2017)
RR
Connecticut(10/16/2007)
RR
Delaware(7/24/2017)
RR
District of Columbia(7/24/2017)
RR
Florida(7/24/2017)
RR
Georgia(7/24/2017)
RR
Hawaii(7/24/2017)
RR
Idaho(7/24/2017)
RR
Illinois(7/24/2017)
RR
Indiana(7/24/2017)
RR
Iowa(7/24/2017)
RR
Kansas(7/24/2017)
RR
Kentucky(7/24/2017)
RR
Louisiana(7/24/2017)
RR
Maine(7/24/2017)
RR
Maryland(7/24/2017)
RR
Massachusetts(7/24/2017)
RR
Michigan(7/24/2017)
RR
Minnesota(7/24/2017)
RR
Mississippi(7/24/2017)
RR
Missouri(7/24/2017)
RR
Montana(7/24/2017)
RR
Nebraska(7/24/2017)
RR
Nevada(7/24/2017)
RR
New Hampshire(7/24/2017)
RR
New Jersey(7/24/2017)
RR
New Mexico(7/24/2017)
RR
New York(8/10/2010)
RR
North Carolina(7/25/2017)
RR
North Dakota(7/24/2017)
RR
Ohio(7/24/2017)
RR
Oklahoma(7/24/2017)
RR
Oregon(7/24/2017)
RR
Pennsylvania(7/24/2017)
RR
Puerto Rico(1/2/2025)
RR
Rhode Island(7/24/2017)
RR
South Carolina(7/24/2017)
RR
South Dakota(7/24/2017)
RR
Tennessee(7/24/2017)
RR
Texas(7/24/2017)
RR
Utah(7/24/2017)
RR
Vermont(7/24/2017)
RR
Virgin Islands(1/2/2025)
RR
Virginia(7/24/2017)
RR
Washington(7/24/2017)
RR
West Virginia(7/24/2017)
RR
Wisconsin(7/24/2017)
RR
Wyoming(7/24/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FD
FRANKLIN DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC
CRD#: 109064 / SEC#: , 8-53089
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
One Franklin Parkway, San Mateo, CA 94403
Mailing Address
1201 Wills Street, Baltimore, MD 21231
Phone number
(800) 632-2350
Established
Delaware since 12/01/2000
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
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.
