Carlo Spano
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.
Carlo Spano was a registered financial professional .
Carlo is a previously registered financial professional and started their career in finance in 1991. Carlo had worked at 5 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2001 - October 18, 2001
NF CLEARING, INC.
January 15, 1995 - September 1, 2001
FISERV CORRESPONDENT SERVICES, INC.
October 25, 1993 - December 31, 1994
LUMIERE SECURITIES, INC.
September 20, 1993 - November 23, 1993
PFS INVESTMENTS INC.
November 26, 1991 - June 25, 1993
INTESA SANPAOLO IMI 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
NF CLEARING, INC.
CRD#: 14285 / SEC#: , 8-30453
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 1 |
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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