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CD

Carl Delia

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CRD#: 2279964
CD

Professional summary

Carl Delia was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Carl is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Carl had worked at 3 firms, which includes MORGAN GRANT CAPITAL CORP., NATIONWIDE SECURITIES CORPORATION, FAB SECURITIES OF AMERICA INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 13, 1996 - May 28, 1999

MORGAN GRANT CAPITAL CORP.

BD
CRD#: 28595
GARDEN CITY, NY
Past

November 27, 1995 - July 10, 1996

NATIONWIDE SECURITIES CORPORATION

BD
CRD#: 29720
VALRICO, FL
Past

September 15, 1994 - November 29, 1995

FAB SECURITIES OF AMERICA, INC.

BD
CRD#: 28212
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/29/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/14/1994
General Securities Representative Examination

Current Firm

MG
MORGAN GRANT CAPITAL CORP.
M.D. WALSH & CO. | WORTHINGTON CAPITAL GROUP, INC. | MORGAN GRANT CAPITAL CORP.

CRD#: 28595 / SEC#: , 8-43853

BD
Terminated by SEC on 02/18/2000
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 05/14/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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.

Company Information

MORGAN GRANT CAPITAL CORP.

CRD#: 28595

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