Steven P. Caruso
Professional summary
Steven Paul Caruso was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Steven had worked at 6 firms, which includes DYNASTY CAPITAL PARTNERS INC., CETERA ADVISORS LLC, J.P. TURNER & COMPANY L.L.C., GLOBAL CAPITAL SECURITIES CORPORATION, GLOBAL CAPITAL MARKETS LLC, STRATTON OAKMONT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2007 - November 25, 2011
DYNASTY CAPITAL PARTNERS, INC.
July 15, 2005 - August 28, 2007
CETERA ADVISORS LLC
March 28, 2002 - July 18, 2005
J.P. TURNER & COMPANY, L.L.C.
January 2, 2001 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
August 16, 1996 - January 2, 2001
GLOBAL CAPITAL MARKETS, LLC
December 24, 1991 - August 16, 1996
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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Exams
Current Firm
DYNASTY CAPITAL PARTNERS, INC.
CRD#: 122806 / SEC#: , 8-65532
Contact information
Documents
Disclosures
| Civil Event | 1 |
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