Carl J. Barone
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.
Carl John Barone SR, who also goes by Carl John Barone, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1985. Carl had worked at 5 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2000 - February 11, 2002
USALLIANZ SECURITIES, INC.
April 11, 2000 - December 14, 2000
LOCUST STREET SECURITIES, INC.
March 5, 1991 - July 13, 1999
LINCOLN INVESTMENT
April 16, 1990 - September 12, 1990
MUTUAL SERVICE CORPORATION
January 18, 1985 - April 27, 1990
VP DISTRIBUTORS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
USALLIANZ SECURITIES, INC.
CRD#: 40875 / SEC#: , 8-49216
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | SHAREHOLDER | |
| HOWELL, RUTH ANNETTE | CHIEF COMPLIANCE OFFICER, COMPLIANCE REGISTERED OPTIONS PRINCIPAL | |
| INGERSOLL, THADDEUS WINTHROP III | COMPLIANCE MANAGER, SENIOR REGISTERED OPTIONS PRINCIPAL | 2616975 |
| JORGENSEN, MICHAEL JAMES | PRESIDENT | 2676329 |
| REITAN, EMILY SUZANNE | CHIEF FINANCIAL OFFICER & TREASURER | 5209812 |
| VITIELLO, VINCENT GERARD | CHAIRMAN OF THE BOARD | 1059845 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
