Michael A. Petruzillo
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.
Michael Anthony Petruzillo JR was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1981. Michael had worked at 6 firms and has passed the Series 65, Series 63 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
November 14, 2001 - December 7, 2005
RYAN BECK & CO.
November 9, 2001 - December 7, 2005
RYAN BECK & CO.
January 25, 1993 - November 8, 2001
JOSEPHTHAL & CO., INC.
March 16, 1988 - January 12, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 7, 1986 - March 9, 1988
LEHMAN BROTHERS INC.
October 21, 1983 - February 5, 1986
PRUDENTIAL EQUITY GROUP, LLC
September 23, 1981 - November 1, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 1981 - October 28, 1981
BROADCHILD SECURITIES CORP.
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
Current Firm
RYAN BECK & CO.
CRD#: 3248 / SEC#: , 8-12296
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RYAN BECK HOLDINGS, INC | SHAREHOLDER | |
| CULLEN, THOMAS WILLIAM | CHIEF FINANCIAL OFFICER | 2702098 |
| KRUSZEWSKI, RONALD JAMES | DIRECTOR | 1434827 |
| PELLEGRINO, JOHN RICHTER | SENIOR V.P.,DIRECTOR OF COMPLIANCE | 826719 |
| PLOTKIN, BEN ALAN | CHAIRMAN AND CEO, DIRECTOR | 1692122 |
| STEGELAND, GARRY JOSEPH | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 1881270 |
| ZEMLYAK, JAMES MARK | DIRECTOR | 1586132 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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