Carolann Capobianco
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.
Carolann Capobianco was a registered financial professional .
Carolann is a previously registered financial professional and started their career in finance in 1984. Carolann had worked at 10 firms and has passed the SIE, Series 7 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
December 8, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 8, 1999 - April 10, 2019
EQUITABLE ADVISORS, LLC
March 17, 1999 - November 5, 1999
NYLIFE DISTRIBUTORS LLC
June 24, 1998 - November 5, 1999
NYLIFE SECURITIES LLC
February 28, 1995 - June 24, 1998
PINEBRIDGE SECURITIES LLC
April 5, 1994 - February 24, 1995
CONSECO SECURITIES, INC.
March 19, 1992 - April 4, 1994
USLIFE EQUITY SALES CORP.
July 25, 1990 - March 26, 1992
WS GRIFFITH SECURITIES, INC.
July 25, 1990 - March 26, 1992
HOME LIFE INSURANCE COMPANY
March 23, 1984 - May 24, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
CRD#: 4039 / SEC#: , 8-14082
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXA FINANCIAL, INC. | SHAREHOLDER | |
| BEBEAR, CLAUDE | DIRECTOR | 2190371 |
| BROCKSOM, CHRISTOPHER JOHN | DIRECTOR | 2273261 |
| COLLOCH, FRANCOISE | DIRECTOR | 2273262 |
| DELACROIXDECASTRIES, HENRI | DIRECTOR | 2413752 |
| DIONNE, JOSEPH LEWIS | DIRECTOR | 1485211 |
| DUVERNE, DENIS | DIRECTOR | 3028622 |
| ESREY, WILLIAM TODD | DIRECTOR | 202413 |
| FOURTOU, JEAN RENE | DIRECTOR | 2273265 |
| FRANCIS, NORMAN CHRISTOPHER | DIRECTOR | 1968944 |
| GARBER, ROBERT E | EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL | 2231578 |
| GREENE, DONALD JOHN | DIRECTOR | 2190390 |
| HAMILTON, ANTHONY JOHN | DIRECTOR | 2706166 |
| HARTLEY, JOHN THOMAS | DIRECTOR | 2190356 |
| HASKELL, JOHN HENRY FARRELL | DIRECTOR | 239380 |
| HEGARTY, MICHAEL | PRESIDENT, CHIEF OPERATING OFFICER & DIRECTOR | 2474862 |
| HENDERSON, MARY REGINA | DIRECTOR | 2849961 |
| JARMAIN, WILLIAM EDWIN CHARLES | DIRECTOR | 2273266 |
| JOHNSTON, DON | DIRECTOR | 1537624 |
| KAPLAN, DONALD ROY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & ASSOCIATE GENERAL COUNSEL | 1727509 |
| LOWY, GEORGE THEODORE | DIRECTOR | 2273267 |
| MILLER, EDWARD DANIEL | CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER & DIRECTOR | 2940587 |
| NORIS, PETER DANA | EXECUTIVE VICE PRESIDENT AND CHIEF INVESTMENT OFFICER | 1327281 |
| PINEAUVALENCIENNE, DIDIER | DIRECTOR | 1990731 |
| SELLA, GEORGE J | DIRECTOR | 1830782 |
| SUQUET, JOSE MINO SUAREZ | EXECUTIVE VICE PRESIDENT & CHIEF DISTRIBUTION OFFICER | 709852 |
| TULLIN, STANLEY BERNARD | SENIOR EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR | 2761384 |
| WILLIAMS, DAVE HARRELL | DIRECTOR | 467574 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 10 |
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.
