Patricia Rugari has been COO, CFO & CCO of Adirondack Financial Services since October 2007, is a control person of the firm and directly owns under 5% of it.
Adirondack Financial Services Corp is an Utica, NY firm with $462M under management, 649 clients and 9 advisers in one office, as of its May 2026 filing.
- Banc of America Investment Services, Inc.– · under a yearUtica, NY · Adviser representative · Firm CRD 16361
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 17 January 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 18 May 2005 |
| Series 7 | General Securities Representative Examination | 15 November 2004 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Patricia Marie Rugari
- CRD
- 4836500
- Firm
- Adirondack Financial Services · CRD 126155
- Role
- COO, CFO & CCO
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Patricia Rugari work?
Patricia Rugari has been COO, CFO & CCO of Adirondack Financial Services Corp since October 2007, and is a control person of the firm.
Does Patricia Rugari have a current investment-adviser registration?
Patricia Rugari has a current broker registration and no current investment-adviser registration.
What exams has Patricia Rugari passed?
Patricia Rugari has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in November 2004. FINRA credited Patricia Rugari with the SIE, which began in October 2018.
Where was Patricia Rugari previously registered as an investment adviser?
Patricia Rugari has past investment-adviser registrations through Banc of America Investment Services, Inc., January 2007 to October 2007, across 1 firm.
Is Patricia Rugari registered with FINRA?
Yes. Patricia Rugari has a current broker registration, under CRD 4836500.
Source: FINRA BrokerCheck
How can I verify Patricia Rugari’s record?
Search CRD 4836500 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Patricia Rugari’s full registration record.