Bruce E. Ventimiglia
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.
Bruce Edward Ventimiglia was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1979. Bruce had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2010 - December 31, 2024
SARATOGA CAPITAL MANAGEMENT, LLC
September 27, 2004 - December 23, 2021
NORTHERN LIGHTS DISTRIBUTORS, LLC
November 25, 2002 - September 27, 2004
ORBITEX FUNDS DISTRIBUTOR, INC.
December 14, 1999 - November 22, 2002
FUNDS DISTRIBUTOR, LLC
June 4, 1997 - October 25, 1999
UNIFIED FINANCIAL SECURITIES, LLC
July 25, 1994 - December 31, 2008
SARATOGA CAPITAL MANAGEMENT, LLC
January 12, 1993 - May 7, 1997
OCC DISTRIBUTORS LLC
October 7, 1987 - October 30, 1992
PRUDENTIAL EQUITY GROUP, LLC
March 26, 1979 - October 26, 1987
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
SARATOGA CAPITAL MANAGEMENT, LLC
CRD#: 112021 / SEC#: 801-46534
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
Series 7TO
Date: 11/4/2022
General Securities Representative ExaminationSeries 8
Date: 2/25/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SARATOGA CAPITAL MANAGEMENT, LLC
CRD#: 112021 / SEC#: 801-46534
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 149,556,125 |
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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