Carmine R. Urciuoli
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carmine Robert Urciuoli was a registered financial professional .
Carmine is a previously registered financial professional and started their career in finance in 1982. Carmine had worked at 16 firms and has passed the Series 63, Series 72, Series 52TO, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2024 - January 6, 2025
INDEPENDENCE POINT SECURITIES LLC
November 29, 2022 - May 7, 2024
SOUTH STREET SECURITIES LLC
June 12, 2019 - May 7, 2024
AMERIVET SECURITIES, INC.
July 7, 2010 - May 29, 2018
BBVA SECURITIES INC.
October 14, 2005 - October 13, 2006
CANTOR FITZGERALD SECURITIES
March 10, 2005 - March 1, 2010
CANTOR FITZGERALD & CO.
July 23, 2003 - March 25, 2005
BNY CAPITAL MARKETS INC.
February 6, 2001 - July 15, 2003
COMMERZBANK CAPITAL MARKETS CORP.
July 9, 1999 - January 10, 2001
ABN AMRO INCORPORATED
June 7, 1999 - October 4, 1999
DEUTSCHE BANK SECURITIES INC.
October 22, 1998 - June 7, 1999
DB ALEX. BROWN LLC
May 15, 1992 - September 10, 1998
CITICORP SECURITIES, INC.
March 9, 1992 - April 22, 1992
KIDDER, PEABODY & CO. INCORPORATED
July 31, 1991 - March 13, 1992
LEHMAN SPECIAL SECURITIES INC.
July 31, 1991 - March 13, 1992
LEHMAN GOVERNMENT SECURITIES INC.
July 22, 1982 - March 13, 1992
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
INDEPENDENCE POINT SECURITIES LLC
CRD#: 318171 / SEC#: , 8-70853
Contact information
FINRA licenses (7 States and Territories)
Documents
Red Flags
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