Michael Carrieri
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.
Michael Carrieri was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 6 firms and has passed the Series 28 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2016 - July 25, 2016
DEIMOS SECURITIES LLC
December 16, 2003 - December 1, 2006
AMARANTH GLOBAL SECURITIES LLC
October 27, 2003 - December 12, 2006
AMARANTH SECURITIES L.L.C.
May 4, 2001 - August 7, 2003
CREDIT AGRICOLE SECURITIES (USA) INC.
April 20, 1999 - July 20, 2000
DAIWA CAPITAL MARKETS AMERICA INC.
May 3, 1996 - April 25, 2001
CIBC WORLD MARKETS CORP.
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 28
Date: 8/17/2015
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
DEIMOS SECURITIES LLC
CRD#: 175499 / SEC#: , 8-69602
Contact information
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.
