Neil FroodCRD Number: 4483525
Current Firm: Sage, Rutty & Company, Inc.
Neil Frood (CRD# 4483525) is an Investment Advisor Representative working at Sage, Rutty & Company, Inc. in Rochester, NY and has over 13 years of experience in the finance industry.
Wall Street Financial Group, Inc.
American Portfolios Advisors, Inc.
Sage, Rutty & Company, Inc.
|Sage Rutty And Company, Inc.||Rochester, NY||Jan 2001 - Current||16|
|Exam Code||Name||Passed Date|
|S65||NASAA Investment Advisors Law Examination||Jul 2008|
|S66||NASAA Uniform Combined State Law Examination||Jul 2004|
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:
- Customer Dispute
Total Assets Under Management714MILLIONS
Total Number of Accounts3,730ACCOUNTS
Average Account Value$191,527
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
AZ, CA, FL, HI, IL, MA, MN, NC, NY, TN, TX