Carl G. Fanaro
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 Gregory Fanaro was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1971. Carl had worked at 5 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 1988 - August 9, 1988
INTERNATIONAL MONEY MANAGEMENT GROUP, INC.
May 6, 1987 - August 15, 1988
PW SECURITIES, INC.
June 17, 1982 - October 20, 1987
INVESTACORP, INC.
November 6, 1979 - June 30, 1986
NIES/BRAUER SECURITIES, INC.
December 8, 1978 - November 26, 1979
FINANCIAL RESEARCH COMPANY
July 1, 1971 - December 24, 1978
PW SECURITIES, 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
Series 1
Date: 6/19/1971
Registered Representative ExaminationCurrent Firm
INTERNATIONAL MONEY MANAGEMENT GROUP, INC.
CRD#: 14367 / SEC#: , 8-30417
Contact information
FINRA licenses (11 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
