Carlo M. Kyprios
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 Marco Kyprios, who also goes by Carlo Marco Zaffoni, was a registered financial professional .
Carlo is a previously registered financial professional and started their career in finance in 1989. Carlo had worked at 12 firms and has passed the Series 63, Series 7 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
December 16, 1999 - December 15, 2000
SOMERSET FINANCIAL GROUP, INC.
September 14, 1999 - December 2, 1999
MERIT CAPITAL ASSOCIATES, INC.
February 27, 1999 - September 10, 1999
WOODSTOCK FINANCIAL GROUP, INC.
September 22, 1997 - January 29, 1999
W.J. NOLAN & COMPANY, INC.
March 19, 1993 - September 19, 1997
J.W. BARCLAY & CO., INC.
November 27, 1992 - May 25, 1993
DUKE & CO., INC.
June 4, 1992 - November 16, 1992
GRUNTAL & CO., L.L.C.
December 11, 1991 - July 14, 1992
JOSEPHTHAL & CO., INC.
July 30, 1991 - November 26, 1991
BERKELEY SECURITIES CORPORATION
January 28, 1991 - July 23, 1991
BLUESTONE CAPITAL CORP.
November 7, 1989 - February 14, 1991
GLOBAL AMERICA INCORPORATED
June 22, 1989 - November 8, 1989
D. H. BLAIR & CO., 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
SOMERSET FINANCIAL GROUP, INC.
CRD#: 46507 / SEC#: , 8-51445
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOMERSET FINANCIAL PARTNERS | SOLE SHAREHOLDER | |
| BERG MCAFEE COMPANY | SHAREHOLDER | |
| PETTENGILL, CHRISTOPHER | OWNER | 1696077 |
| PETTENGILL, CHRISTOPHER | SHAREHOLDER | 1696077 |
| KRILL, RICHARD EDWARD | CONTROLLER/ FINOP | 3190120 |
| THOMPSON, NICHOLAS PATRICK | MANAGING DIRECTOR, SECRETARY | 1732216 |
| TOTH, DOUGLAS JOHN | PRESIDENT | 2332079 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 6 |
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.
