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RAFFAELE DEGRUTTOLA
RAFFAELE DE GRUTTOLA
CRD#: 4747868
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1325 FRANKLIN AVE
GARDEN CITY, NY 11530
GARDEN CITY, NY 11530
0
Disclosures
20
Years of Experience
View By:
State Registrations
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Arizona 1/30/2017
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Nevada 7/8/2019
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California 6/25/2010
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New Hampshire 10/16/2012
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Colorado 5/10/2017
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New Jersey 6/25/2010
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Connecticut 6/28/2010
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New York 6/25/2010
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Connecticut 5/9/2017
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New York 4/19/2021
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Delaware 4/27/2021
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North Carolina 1/15/2015
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District of Columbia 12/3/2024
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Ohio 5/10/2017
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Florida 6/25/2010
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Oregon 9/5/2017
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Georgia 10/23/2013
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Pennsylvania 5/9/2011
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Illinois 1/26/2015
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South Carolina 1/2/2020
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Indiana 2/1/2022
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Tennessee 2/7/2022
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Kansas 3/8/2023
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Texas 7/8/2010
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Maryland 5/10/2017
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Texas 1/30/2012
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Massachusetts 9/6/2016
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Vermont 1/20/2021
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Michigan 9/5/2017
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Virginia 5/10/2017
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Minnesota 9/5/2017
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Washington 1/23/2018
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Missouri 3/22/2017
SRO Registrations
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Registered with this firm since 6/28/2010
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Registered with this firm since 6/25/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/02/2009 - 06/25/2010 | ROSLYN HEIGHTS, NY | |
B | 07/01/2009 - 06/25/2010 | ROSLYN HEIGHTS, NY | |
B | 06/01/2009 - 07/01/2009 | GARDEN CITY, NY | |
B | 10/07/2006 - 06/01/2009 | GARDEN CITY, NY | |
B | 04/27/2004 - 10/12/2006 | MITCHEL FIELD, NY | |
B | 04/27/2004 - 07/03/2006 | MINNEAPOLIS, MN |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.