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Gregg Andrew Farrauto

Farrauto Wealth Management, Inc

New York, NY

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Current Employers
Farrauto Wealth Management, Inc

One Liberty Plaza, 165 Broadway 23Rd Floor, New York, NY 10006 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-04-03
  • NY RA
    APPROVED
    Since 2022-04-03

Branch Locations

One Liberty Plaza, 165 Broadway 23Rd Floor, New York, NY 10006 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Farrauto Asset Management New York NY 02/2004 Present
Cambridge Investment Research, Inc Fairfield IA 11/2009 12/2017
Cambridge Investment Research Advisors, Inc Fairfield IA 11/2009 12/2017
Securities Service Network New York NY 01/2018 01/2018
Ssn Advisory Inc New York NY 01/2018 01/2018
  • 02/2004 → Present
    Farrauto Asset Management
    New York, NY
  • 11/2009 → 12/2017
    Cambridge Investment Research, Inc
    Fairfield, IA
  • 11/2009 → 12/2017
    Cambridge Investment Research Advisors, Inc
    Fairfield, IA
  • 01/2018 → 01/2018
    Securities Service Network
    New York, NY
  • 01/2018 → 01/2018
    Ssn Advisory Inc
    New York, NY
Other Businesses

1. Farrauto Asset Management DBA Farrauto Management Wealth - 77 Water Street,8th Floor, New York, NY 10005 - 11/2009 - NIR - Fixed Insurance Sales, Independent Insurance agent that sells health, DI, LTC and Life insurance TPA for association plan. - Insurance agent. Needs based to help client achieve their goals - S-Corp - 20-25 hrs/mo trading 2. Farrauto Asset Management DBA Farrauto Management Wealth - 77 Water Street, 8th Floor, New York, NY 10005 - 01/2018 - NIR - Coaching & Consulting - coaching relationship with regards to provide one off advice as needed. Coaching & Consulting that may no be financial in nature and maybe entrepreneurial. Non clients who would like advice on their other business. - S-Corp - 15-20 hrs/mo trading 3. Farrauto Asset Management DBA Farrauto Management Wealth - 77 Water Street, 8th Floor, New York, NY 10005 - 11/2019 - Investment Related - RIA with New York State, prepares financial plans for fee. RIA with NY State and prepares financial plans for a fee - S-Corp - 32 hrs/mo trading 4. Farrauto Asset Management DBA Farrauto Management Wealth-165 Broadway, 23rd Floor, New York, NY 10006- 01/2021 Investment Related - RIA with New York State, prepares financial plans for fee. RIA with NY State and prepares financial plans for a fee - S-Corp - 32 hrs/mo trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-30
S63 Uniform Securities Agent State Law Examination 1995-11-30
  • S65 Uniform Investment Adviser Law Examination
    1999-12-30
  • S63 Uniform Securities Agent State Law Examination
    1995-11-30
Other Names
  • Gregg A Farrauto
  • Gregg Andrew Farrauto

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