Frederick A. Caruso
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.
Frederick Anthony Caruso, who also goes by Rick Caruso, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1992. Frederick had worked at 11 firms and has passed the Series 63, SIE, Series 55, 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
November 25, 2013 - August 17, 2015
SANTANDER US CAPITAL MARKETS LLC
February 22, 2011 - February 14, 2013
RBC CAPITAL MARKETS, LLC
January 5, 2006 - March 3, 2011
JANNEY MONTGOMERY SCOTT LLC
January 2, 2003 - December 31, 2005
REFCO SECURITIES, LLC
April 9, 2002 - December 18, 2002
SWISS AMERICAN SECURITIES INC.
September 13, 2000 - March 7, 2002
NOMURA SECURITIES INTERNATIONAL, INC.
February 9, 2000 - September 5, 2000
NATIONAL FINANCIAL SERVICES LLC
February 6, 1998 - January 10, 2000
JEFFERIES LLC
September 14, 1996 - December 12, 1997
YAMAICHI INTERNATIONAL (AMERICA) INC.
October 6, 1992 - August 26, 1996
TATUM SECURITIES, INC.
April 27, 1992 - August 31, 1992
APEX CLEARING CORPORATION
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 55
Date: 3/22/2001
Limited Representative-Equity Trader ExamCurrent Firm
SANTANDER US CAPITAL MARKETS LLC
CRD#: 150696 / SEC#: , 8-68282
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS LLC | SOLE MEMBER | |
| LANE, JASON DEARMOND | CHIEF COMPLIANCE OFFICER | 2671708 |
| PACHECO, MERCEDES MARIA | CHIEF LEGAL OFFICER | 2909083 |
| PRIETO-MORENO, GERARDO | PRINCIPAL OPERATIONS OFFICER | 7295411 |
| SANTANGELO, MICHAEL JOHN | CFO | 4705334 |
| VITALE, PAUL N | FINOP, PRINCIPAL FINANCIAL OFFICER | 5909566 |
| WALSH, JOSEPH NORTON III | CEO | 2804671 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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