RUGGIERO JOHN HENRY appears across SEC filings — Form ADV advisers, Form D, Reg A, and crowdfunding offerings. RUGGIERO JOHN HENRY appears on 6 filing roles across Form ADV (6).
| Filed | Source | Entity | Role | Location |
|---|---|---|---|---|
| — | Form ADV | HSBC SECURITIES (USA) INC. | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISER | NEW YORK, NY |
| — | Form ADV | LADENBURG THALMANN ASSET MANAGEMENT INC | PRESIDENT, CCO | NEW YORK, NY |
| — | Form ADV | HSBC GLOBAL ASSET MANAGEMENT (USA) INC. | CHIEF COMPLIANCE OFFICER | NEW YORK, NY |
| — | Form ADV | LADENBURG THALMANN FUND MANAGEMENT LLC | MANAGER | NEW YORK, NY |
| — | Form ADV | STEWARDSHIP INVESTMENT ADVISORS LLC | CHIEF COMPLIANCE OFFICER | GREENWICH, CT |
| — | Form ADV | CLAYMORE FUND MANAGEMENT COMPANY LLC. | MANAGER | WHEATON, IL |