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Detailed Report
BRAD M INGEGNERI
Brad M Ingegneri, Bradley M Ingegneri
CRD#: 4364810
IA
Investment Adviser
B
Broker
THE PATRIOT FINANCIAL GROUP, LLCCRD#: 172470 1350 Division Rd
Suite 200
West Warwick, RI 02893
CETERA FINANCIAL SPECIALISTS LLCCRD#: 10358 1350 DIVISION RD
STE 200
WEST WARWICK, RI 02893
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2010 (9 years)2 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - 2021 (8 years)IATHE PATRIOT FINANCIAL GROUP, LLC (CRD# 172470)2021 - Present (4 years)BCETERA FINANCIAL SPECIALISTS LLC (CRD# 10358)2022 - Present (2 years)BSECURITIES AMERICA, INC. (CRD# 10205)2020 - 2022 (2 years)
License(s)

State Registrations

IA
Connecticut 3/15/2021
B
New York 12/19/2022
B
Connecticut 12/19/2022
IA
Rhode Island 3/18/2021
B
Florida 12/19/2022
B
Rhode Island 12/22/2022
B
Massachusetts 12/19/2022
B
South Carolina 12/19/2022
IA
New Hampshire 3/15/2021
IA
Texas 3/15/2021
B
New Jersey 2/25/2025
B
Washington 12/19/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
THE PATRIOT FINANCIAL GROUP, LLC (CRD#:172470)
1350 Division Rd Suite 200, West Warwick, RI 02893
Registered with this firm since 3/15/2021
B
CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358)
1350 DIVISION RD STE 200, WEST WARWICK, RI 02893
Registered with this firm since 12/19/2022
Previous Registration(s)
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B
 12/18/2020 - 12/15/2022 SECURITIES AMERICA, INC. (CRD#:10205) WEST WARWICK, RI
IA
 08/01/2012 - 06/30/2021 IVY WEALTH MANAGEMENT, INC. (CRD#:164557) WEST WARWICK, RI
B
 08/01/2012 - 01/05/2021 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) WEST WARWICK, RI
IA
 07/01/2010 - 08/10/2012 LPL FINANCIAL LLC (CRD#:6413) WARWICK, RI
B
 07/01/2010 - 08/10/2012 LPL FINANCIAL LLC (CRD#:6413) WARWICK, RI
IA
 06/15/2001 - 07/06/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PROVIDENCE, RI
B
 05/09/2001 - 07/06/2010 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PROVIDENCE, RI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.