Modestino V. Carullo
Professional summary
Modestino Vito Carullo, who also goes by Modestino V Carullo, Modestino Carullo, Steve VIto Carullo, is a registered financial professional currently at FEF DISTRIBUTORS, LLC located in New York, New York.
Modestino is registered as a RR (Registered Representative) and started their career in finance in 1988. Modestino has worked at 10 firms and has passed the Series 99TO, SIE, Series 7, Series 14, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Modestino Vito Carullo's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 14, 2017 - Present
FEF DISTRIBUTORS, LLC
Office #1: 1345 Avenue Of The Americas, New York, NY 10105Office #2: 1345 Avenue Of The Americas, New York, NY 10105-4800January 13, 2011 - July 20, 2016
CITIGROUP GLOBAL MARKETS INC.
March 27, 2006 - June 20, 2008
UBS FINANCIAL SERVICES INC.
January 1, 2005 - March 29, 2006
HSBC SECURITIES (USA) INC.
December 9, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
June 22, 2001 - October 29, 2004
UBS INTERNATIONAL INC.
June 29, 1998 - June 28, 2001
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
June 14, 1997 - September 2, 1997
SBC WARBURG, INC.
December 8, 1992 - June 3, 1997
UBS FINANCIAL SERVICES INC.
April 22, 1988 - September 14, 1988
THE BROKERAGE CORPORATION OF AMERICA, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 5/24/1995
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
FEF DISTRIBUTORS, LLC
CRD#: 46585 / SEC#: , 8-51483
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | MANAGING MEMBER | 108260 |
| BRUNO, ROBERT | MANAGER | 2102844 |
| CARULLO, MODESTINO VITO | CHIEF COMPLIANCE OFFICER | 1528768 |
| CONSTANTINO, MICHAEL | MANAGER | 2932606 |
| FONG, CHUN WAI | CHIEF FINANCIAL OFFICER AND FINOP | 4944446 |
| OCONNOR, DAVID | GENERAL COUNSEL AND MANAGER | 5077118 |
| RICCIO, FRANK JOSEPH | PRESIDENT AND MANAGER | 4271374 |
Disclosures
| Regulatory Event | 1 |
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.
