Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phillip? Claim Your ProfilePhillip Breton Ruggeiro is a securities professional with over 30 years of experience in the financial industry. Phillip is currently registered with Wedbush Securities Inc. Phillip has held previous positions with firms such as Miller & Schroeder Financial, Inc., O'Connor Securities, Nap Financial Corporation, Dean Witter Reynolds Inc., Municicorp of California, and First Interregional Equity Corp. Phillip is a licensed Series 3, 6, 7, and 63 representative. Phillip is an active participant in the financial industry, and is dedicated to providing clients with the highest level of service and expertise.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
02/01/2001 - Present
Wedbush Securities Inc. (LOS ANGELES CA)
MN
03/24/1999 - 12/21/2000
MILLER & SCHROEDER FINANCIAL, INC. (MINNEAPOLIS MN)
CA
03/03/1993 - 03/19/1999
O'CONNOR SECURITIES (NEWPORT BEACH CA)
CA
01/03/1992 - 02/08/1993
NAP FINANCIAL CORPORATION (IRVINE CA)
NY
05/27/1988 - 01/18/1990
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
07/07/1987 - 05/23/1988
MUNICICORP OF CALIFORNIA
NA
06/11/1987 - 06/29/1987
FIRST INTERREGIONAL EQUITY CORP.
BC
Issued 10/06/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/01/1989
Series 3 - National Commodity Futures Examination
BC
Issued 08/15/1987
Series 7 - General Securities Representative Examination
BC
Issued 06/10/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Phillip Ruggeiro is the right advisor for you? Invested Better is here to help.
