Articles Tagged with Ruben Frezzotti

Ruben Frezzotti

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 12, 2018 indicate that Florida-based Raymond James & Associates broker Ruben Frezzotti has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Frezzotti (CRD# 4439983).

Ruben Frezzotti has spent 15 years in the securities industry and has been registered with Raymond James & Associates in Coral Gables, Florida since 2013. Previous registrations include Morgan Keegan & Company in Coral Gables, Florida (2004-2013); PFIC Securities Corporation in Franklin, Tennessee (2003-2004); and Salomon Smith Barney in New York, New York (2001). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 13, 2005; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 22, 2005; Series 31 (Futures Managed Funds Examination), which he obtained on October 5, 2006; and Series 7 (General Securities Representative Examination), which he obtained on September 11, 2001. . He is a registered broker and investment adviser with five US states and territories: Alabama, California, Florida, New York, and Puerto Rico. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint, and three customer complaints that were closed or denied.