Carl G. Derozario
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 Gregory Derozario was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1984. Carl had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2021 - October 12, 2022
VERDEAM
October 28, 2003 - December 31, 2017
VERDEAM
April 20, 2001 - July 1, 2003
MOUNTAIN RIVER SECURITIES, INC.
May 2, 1996 - April 28, 2000
U.S. BANCORP INVESTMENTS, INC.
January 11, 1993 - December 31, 1994
LEWIS, DE ROZARIO & CO. INCORPORATED
February 24, 1984 - October 7, 1985
RAUSCHER PIERCE REFSNES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VERDEAM
CRD#: 128442 / SEC#: 801-108810
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 7,082,190 |
Red Flags
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