Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nicholas? Claim Your ProfileNicholas Ruggiero is a financial professional with over 17 years of experience in the industry. Nicholas has a strong background in securities trading and operations, having held positions at Bear, Stearns & Co. Inc. and Bear, Stearns Securities Corp. before joining Daiwa Capital Markets America Inc. in 2007. Nicholas is currently registered in ten states, including New York, New Jersey, and Pennsylvania. Nicholas holds several industry licenses, including Series 7, Series 57TO, Series 99TO, and SIE.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
11/26/2007 - Present
Daiwa Capital Markets America Inc. (NEW YORK NY)
NY
11/07/2005 - 12/03/2007
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
11/07/2005 - 12/03/2007
BEAR, STEARNS SECURITIES CORP. (NEW YORK NY)
BC
Issued 03/13/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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