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Donna M Malucci

Sage, Rutty & Co., Inc.

Rochester, NY

Rochester, NY

Rochester, NY

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Current Employers
Sage, Rutty & Co., Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-06-17
  • FL RA
    APPROVED
    Since 2024-06-17

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

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citigroup Global Markets Inc. Pittsford NY 10/1989 03/2024
Morgan Stanley Smith Barney Pittsford NY 06/2009 03/2024
Sage, Rutty & Company, Inc. Rochester NY 06/2024 Present
  • 10/1989 → 03/2024
    Citigroup Global Markets Inc.
    Pittsford, NY
  • 06/2009 → 03/2024
    Morgan Stanley Smith Barney
    Pittsford, NY
  • 06/2024 → Present
    Sage, Rutty & Company, Inc.
    Rochester, NY
Previous Registrations
  • 2014-05-09 → 2024-04-05
    Morgan Stanley
    Pittsford, NY
    Rochester, NY
Other Businesses

MARY KAY COSMETICS. NOT INVESTMENT RELATED. VICTOR, NY INDEPENDENT CONSULTANT. 5/2005. 2 HOURS PER MONTH, NONE DURING SECURITIES TRADING HOURS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-09-29
S65 Uniform Investment Adviser Law Examination 1996-04-29
S63 Uniform Securities Agent State Law Examination 1995-06-06
  • S66 Uniform Combined State Law Examination
    2015-09-29
  • S65 Uniform Investment Adviser Law Examination
    1996-04-29
  • S63 Uniform Securities Agent State Law Examination
    1995-06-06
Other Names
  • Donna Caufield
  • Donna M Caufield

View on SEC IAPD

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Other Offices

MORGAN STANLEY · Rochester, NY
COMMONWEALTH FINANCIAL NETWORK · ROCHESTER, NY
NOVEM GROUP · ROCHESTER, NY
OSAIC WEALTH, INC. · ROCHESTER, NY
EDELMAN FINANCIAL ENGINES · ROCHESTER, NY
RISE ADVISORS, LLC · ROCHESTER, NY
UBS FINANCIAL SERVICES INC. · ROCHESTER, NY
MARINER · Rochester, NY

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