Michael J. Carusillo
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.
Michael John Carusillo, who also goes by Mickey Carusillo, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 5 firms and has passed the Series 63, Series 7, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2007 - July 6, 2009
BASE-2 MARKETS, LLC
September 19, 2002 - January 25, 2013
CSS, LLC
January 3, 1995 - August 3, 1995
SBC WARBURG, INC.
October 11, 1992 - January 3, 1995
O'CONNOR & ASSOCIATES
May 10, 1988 - June 8, 1992
O'CONNOR INVESTMENTS
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 8
Date: 3/23/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BASE-2 MARKETS, LLC
CRD#: 141154 / SEC#: , 8-67364
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLUEFIN HOLDINGS, LLC | MEMBER | |
| ELLIS, AUBREY JUDSON JR | MEMBER | |
| OCA VENTURES II BASE-2 INVESTMENT CO | MEMBER | |
| DUQUETTE, ARTHUR JAMES | MEMBER | 3158046 |
| FARMER, J. DOYNE | MEMBER | |
| JEVON, THOMAS HARRIMAN | MEMBER | |
| JJT ENTERPRISES LLC | MEMBER | |
| OCONNOR, STEPHEN THOMAS | MEMBER - CHIEF COMPLIANCE OFFICER | |
| BASE-2 MANAGEMENT, LLC | MEMBER | |
| OCONNOR, STEPHEN THOMAS | MEMBER OF ITS MEMBER, BASE-2 CAPITAL GROUP, LLC |
Disclosures
| Regulatory Event | 2 |
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.
