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Employer firm

Sage, Rutty & Co., Inc. CRD 3254

$3.46B regulatory AUM 60 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • Periodicals / newsletters
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Sage, Rutty & Co., Inc.

100 Corporate Woods Suite 300, Rochester, NY 14623 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-22
TX RA APPROVED 2017-06-26
  • NY RA
    APPROVED
    Since 2021-06-22
  • TX RA
    APPROVED
    Since 2017-06-26

Branch Locations

100 Corporate Woods Suite 300, Rochester, NY 14623 • UNITED STATES

100 Corporate Woods Suite 300, Rochester, NY 14623 • United States

100 Corporate Woods Suite 300, Rochester, NY 14623 • United States

Disclosures

1 disclosure category 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 No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Brighton Securities Corporation Rochester NY 05/2007 06/2017
Sage, Rutty & Co., Inc. Rochester NY 06/2017 Present
  • 05/2007 → 06/2017
    Brighton Securities Corporation
    Rochester, NY
  • 06/2017 → Present
    Rochester, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-26
  • S66 Uniform Combined State Law Examination
    2007-06-26
Designations
  • Certified Financial Planner
  • Chartered Financial Analyst

View on SEC IAPD

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