Carlo E. Corvaja
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 Edmond Corvaja, who also goes by Carlo Edmond Corvaja, Carlo Corvaja, was a registered financial professional .
Carlo is a previously registered financial professional and started their career in finance in 1993. Carlo had worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, SIE, 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
August 9, 2024 - July 23, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 2024 - July 23, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 23, 2021 - August 7, 2024
WELLS FARGO CLEARING SERVICES, LLC
September 15, 2021 - August 7, 2024
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2015 - November 21, 2019
PLANNER SECURITIES LLC
January 5, 2012 - February 27, 2013
R.W.PRESSPRICH & CO.
May 18, 2010 - August 1, 2011
COHEN & COMPANY SECURITIES, LLC
October 23, 2002 - May 25, 2010
MAXIM GROUP LLC
April 12, 2001 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
September 15, 1998 - March 28, 2001
TRADE.COM ONLINE SECURITIES, INC.
April 28, 1994 - September 15, 1998
BLUESTONE CAPITAL CORP.
February 4, 1994 - April 7, 1994
REICH & CO., INC.
February 9, 1993 - April 22, 1993
DUKE & CO., INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
