Carol E. Vatter
Professional summary
Carol Ellen Vatter is a registered financial professional currently at BEECH HILL SECURITIES, INC. located in New York, New York.
Carol is registered as a RR (Registered Representative) and started their career in finance in 1982. Carol has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carol Ellen Vatter's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 31, 2017 - Present
BEECH HILL SECURITIES, INC.
Office #1: 880 Third Avenue 16th Floor, New York, NY 10022May 28, 2002 - August 2, 2017
NORTHEAST SECURITIES, LLC
May 20, 1986 - June 19, 2002
HAPOALIM SECURITIES USA, INC.
January 16, 1986 - May 23, 1986
SWERGOLD, CHEFITZ & INCORPORATED
July 12, 1985 - August 19, 1985
F.D. ROBERTS SECURITIES, INC.
July 11, 1985 - July 17, 1985
VANDERBILT SECURITIES, INC.
May 21, 1982 - June 3, 1985
JOSEPHTHAL & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/13/2023)
(8/12/2020)
(2/15/2019)
(7/31/2017)
(7/31/2017)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/23/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
BEECH HILL SECURITIES, INC.
CRD#: 24771 / SEC#: , 8-41389
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IANNUZZI, ADOLFO VINCENT | CFO / CCO- MUTUAL FUNDS | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CHIEF EXECUTIVE OFFICER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | PRESIDENT | 2874669 |
| IANNUZZI, ADOLFO VINCENT | OWNER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CORP SECY | 2874669 |
| CANTOR, PAUL SETH | OWNER | 39844 |
| CATANIA, FERDINANDO JR | CCO - MUNICIPALS | 3263571 |
| FIORINI, DONNA ANNE | EXECUTIVE REPRESENTATIVE | 1289258 |
| FIORINI, DONNA ANNE | CCO - GENERAL COMPLIANCE | 1289258 |
Disclosures
| Regulatory Event | 6 |
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