Carlo W. Corzine
Professional summary
Carlo Wayne Corzine, who also goes by Carlo W Corzine, is a registered financial professional currently at DAWSON JAMES SECURITIES, INC. located in Boca Raton, Florida.
Carlo is registered as a RR (Registered Representative) and started their career in finance in 1989. Carlo has worked at 12 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carlo Wayne Corzine's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 21, 2012 - Present
DAWSON JAMES SECURITIES, INC.
Office #1: 101 North Federal Highway Suite 600, Boca Raton, FL 33432August 21, 2012 - September 6, 2013
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
April 30, 2009 - September 5, 2012
BUCKMAN, BUCKMAN & REID, INC.
January 6, 2005 - April 30, 2009
NEWBRIDGE SECURITIES CORPORATION
November 30, 1998 - January 5, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
October 25, 1996 - November 25, 1998
ROUND HILL SECURITIES, INC.
April 18, 1996 - October 29, 1996
NORTHEAST SECURITIES, LLC
December 5, 1994 - April 19, 1996
ROYAL PALM INVESTMENTS, LTD.
December 4, 1993 - December 12, 1994
EARLYBIRDCAPITAL, INC.
July 24, 1992 - April 20, 1994
JOSEPHTHAL & CO., INC.
February 1, 1990 - July 28, 1992
J. W. GANT & ASSOCIATES, INC.
March 21, 1989 - December 11, 1989
LEHMAN BROTHERS 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
(8/8/2014)
(11/21/2012)
(11/21/2012)
(11/26/2012)
(11/21/2012)
(1/9/2013)
(3/11/2025)
(9/16/2025)
(2/4/2013)
(1/19/2022)
(11/21/2012)
(11/21/2012)
(4/1/2025)
(7/15/2013)
(8/17/2015)
(11/21/2012)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
Current Firm
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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Company Information
DAWSON JAMES SECURITIES, INC.
CRD#: 130645Boca Raton, FL 33432TRUST BUT VERIFY
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