Carl F. Domingue
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 Francis Domingue, CFP®, who also goes by Carl Francis Domingue, Domingue, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1996. Carl had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2022 - June 27, 2023
ERNST & YOUNG INVESTMENT ADVISERS LLP
June 6, 2011 - January 17, 2014
PRUCO SECURITIES, LLC.
June 3, 2011 - February 10, 2017
PRUCO SECURITIES, LLC.
October 15, 2010 - February 7, 2011
VALIC FINANCIAL ADVISORS, INC.
October 12, 2010 - February 7, 2011
VALIC FINANCIAL ADVISORS, INC.
April 2, 2009 - October 15, 2010
AVANTAX ADVISORY SERVICES
January 9, 2009 - October 15, 2010
AVANTAX INVESTMENT SERVICES, INC.
February 22, 2005 - January 2, 2009
EQUITABLE DISTRIBUTORS, LLC
September 27, 2002 - December 9, 2002
EQUITABLE ADVISORS, LLC
September 27, 2002 - February 23, 2005
EQUITABLE ADVISORS, LLC
May 24, 2001 - June 4, 2002
EQUITABLE DISTRIBUTORS, LLC
January 22, 2001 - June 15, 2001
1ST GLOBAL CAPITAL CORP.
August 21, 1996 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 21, 1996 - February 27, 2001
EQUITABLE ADVISORS, LLC
January 16, 1996 - August 12, 1996
VERAVEST INVESTMENTS, INC.
Primary Firm SEC Registration
ERNST & YOUNG INVESTMENT ADVISERS LLP
CRD#: 110921 / SEC#: 801-48596
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
ERNST & YOUNG INVESTMENT ADVISERS LLP
CRD#: 110921 / SEC#: 801-48596
Contact information
SEC notice filing (52 States and Territories)
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
