Carl A. Sampogna
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.
Carl Anthony Sampogna was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1994. Carl had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2013 - September 29, 2014
FOUR POINTS CAPITAL PARTNERS LLC
December 7, 2006 - December 19, 2013
JHS CAPITAL ADVISORS, LLC
February 9, 2006 - December 7, 2006
VISION SECURITIES INC.
January 31, 2002 - November 3, 2004
WOODSTOCK FINANCIAL GROUP, INC.
February 28, 2000 - July 26, 2001
LADENBURG THALMANN & CO. INC.
October 22, 1998 - March 10, 1999
RICHMARK CAPITAL CORPORATION
April 6, 1998 - July 8, 1998
MORGAN, TAYLOR & ASSOCIATES, INC.
January 20, 1997 - August 27, 1997
BILTMORE SECURITIES, INC.
July 30, 1994 - December 20, 1996
STRATTON OAKMONT INC.
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
Current Firm
FOUR POINTS CAPITAL PARTNERS LLC
CRD#: 43149 / SEC#: , 8-50162
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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