Carl Cirillo
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 Cirillo, who also goes by Carl T Cirillo, Carl Thomas Cirillo, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1985. Carl had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2018 - June 3, 2019
SW FINANCIAL
January 4, 2018 - May 23, 2018
WORDEN CAPITAL MANAGEMENT LLC
June 20, 2016 - November 30, 2016
CHELSEA FINANCIAL SERVICES
June 25, 2013 - November 6, 2015
LEGEND SECURITIES, INC.
June 22, 2012 - June 20, 2013
OLSON, CROSS & ALAMO LLC
October 2, 2008 - June 20, 2012
BROOKVILLE CAPITAL PARTNERS
August 22, 2007 - September 18, 2008
PARKER FINANCIAL CORP.
August 8, 2005 - May 18, 2007
BASIC INVESTORS INC.
August 10, 2004 - August 16, 2005
GUNNALLEN FINANCIAL, INC
March 27, 2000 - August 10, 2004
DELTA ASSET MANAGEMENT COMPANY, LLC
June 18, 1998 - October 25, 1999
F1 TRADING.COM, INC.
March 31, 1997 - October 31, 1997
BG CAPITAL, INC.
August 3, 1988 - March 10, 1995
BARRETT DAY SECURITIES, INC.
November 12, 1986 - July 27, 1988
LEVCO SECURITIES CORP.
July 11, 1985 - November 28, 1986
GREENTREE SECURITIES CORP.
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
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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