Bruce VentimigliaCRD Number: 863761
Current Firm: Saratoga Capital Management,llc
Bruce Ventimiglia (CRD# 863761) is an Investment Advisor Representative working at Saratoga Capital Management,llc in Goodyear, AZ and has over 33 years of experience in the finance industry.
Householder Group Estate & Retirement Specialists
Barnes Investment Advisory Inc.
Foothills Financial Planning, Inc.
|Northern Lights Distributors, LLC||Omaha, NE||Sep 2004 - Current||13|
|Saratoga Capital Management, LLC||Goodyear, AZ||May 1994 - Current||23|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1985|
|S65||NASAA Investment Advisors Law Examination||May 1995|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Regulatory Investigation
Total Assets Under Management828MILLIONS
Total Number of Accounts1ACCOUNTS
Average Account Value$827,837,573
- A percentage of assets under your management
- Portfolio management for investment companies (as well as "business development companies")
- Pension consulting services
- Selection of other advisers (including private fund managers)