Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Ruggiero is a financial professional with over 27 years of experience in the securities industry. Richard has a diverse background, having worked at firms such as Bear, Stearns & Co. Inc., Prudential Securities Incorporated, The Robinson-Humphrey Company, LLC, Pershing Trading Company, L.P., BNY Mellon Capital Markets, LLC, and currently at Pershing LLC. Richard is registered with FINRA and holds multiple licenses, including Series 7, Series 55, Series 57, and Series 52. Richard is also licensed in all states in the United States.
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.
1
2
NY
09/09/2005 - Present
Pershing LLC (NEW YORK NY)
NY
01/02/2014 - 08/07/2017
BNY MELLON CAPITAL MARKETS, LLC (NEW YORK NY)
NJ
03/24/2004 - 09/09/2005
PERSHING TRADING COMPANY, L.P. (JERSEY CITY NJ)
NY
03/31/1999 - 06/06/2003
BEAR, STEARNS & CO. INC. (NEW YORK NY)
GA
11/15/1996 - 03/31/1999
THE ROBINSON-HUMPHREY COMPANY, LLC (ATLANTA GA)
NY
12/09/1994 - 11/26/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 02/01/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/31/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/08/1994
Series 7 - General Securities 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
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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