Carmine Depalma
Professional summary
Carmine Depalma was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Carmine is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Carmine had worked at 10 firms, which includes RYAN BECK & CO., NATIONAL SECURITIES CORPORATION, H.J. MEYERS & CO. INC., NORTHEAST SECURITIES LLC, GOLDIS FINANCIAL GROUP INC., ADVANCED EQUITY GROUP INC., HERBERT YOUNG SECURITIES INC., J. GREGORY & COMPANY INC., GLOBAL CAPITAL SECURITIES INC., INVESTORS CENTER INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2001 - September 25, 2003
RYAN BECK & CO.
November 26, 2001 - September 25, 2003
RYAN BECK & CO.
September 2, 1998 - December 20, 2001
NATIONAL SECURITIES CORPORATION
October 16, 1996 - October 5, 1998
H.J. MEYERS & CO., INC.
March 30, 1995 - October 4, 1996
NORTHEAST SECURITIES, LLC
March 16, 1992 - December 13, 1994
GOLDIS FINANCIAL GROUP, INC.
September 18, 1991 - March 31, 1992
ADVANCED EQUITY GROUP, INC.
March 18, 1991 - August 15, 1991
HERBERT YOUNG SECURITIES, INC.
February 12, 1990 - March 27, 1991
J. GREGORY & COMPANY, INC.
March 7, 1989 - February 21, 1990
GLOBAL CAPITAL SECURITIES, INC.
July 19, 1988 - March 10, 1989
INVESTORS CENTER, 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
Current Firm
RYAN BECK & CO.
CRD#: 3248 / SEC#: , 8-12296
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RYAN BECK HOLDINGS, INC | SHAREHOLDER | |
| CULLEN, THOMAS WILLIAM | CHIEF FINANCIAL OFFICER | 2702098 |
| KRUSZEWSKI, RONALD JAMES | DIRECTOR | 1434827 |
| PELLEGRINO, JOHN RICHTER | SENIOR V.P.,DIRECTOR OF COMPLIANCE | 826719 |
| PLOTKIN, BEN ALAN | CHAIRMAN AND CEO, DIRECTOR | 1692122 |
| STEGELAND, GARRY JOSEPH | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL & CORPORATE SECRETARY, CHIEF COMPLIANCE OFFICER | 1881270 |
| ZEMLYAK, JAMES MARK | DIRECTOR | 1586132 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 5 |
Red Flags
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