Carmine V. Pardi
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 Vincent Pardi was a registered financial professional .
Carmine is a previously registered financial professional and started their career in finance in 1983. Carmine had worked at 8 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2011 - July 25, 2012
RIDGEWAY & CONGER, INC.
August 24, 2009 - August 22, 2011
INTEGRITY ALLIANCE, LLC.
March 10, 2003 - August 26, 2009
NEW ENGLAND SECURITIES
February 10, 2003 - March 19, 2003
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
August 31, 1993 - June 14, 1994
HIMCO DISTRIBUTION SERVICES COMPANY
March 16, 1987 - January 24, 1992
METROPOLITAN LIFE INSURANCE COMPANY
March 16, 1987 - January 24, 1992
MSI FINANCIAL SERVICES, INC.
September 26, 1983 - January 12, 1987
FORESTERS FINANCIAL SERVICES, 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
Exams
Current Firm
RIDGEWAY & CONGER, INC.
CRD#: 113055 / SEC#: , 8-53291
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
