Jeffrey J. Caruso
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.
Jeffrey John Caruso, who also goes by Jeff Caruso, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1995. Jeffrey had worked at 11 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2022 - December 31, 2024
PERSHING ADVISOR SOLUTIONS LLC
June 16, 2011 - December 31, 2024
PERSHING LLC
August 31, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
August 31, 2004 - May 20, 2011
NEW ENGLAND SECURITIES
August 31, 2004 - May 20, 2011
MSI FINANCIAL SERVICES, INC.
August 1, 2003 - May 20, 2011
WALNUT STREET SECURITIES, INC.
June 27, 2001 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
July 2, 1999 - January 30, 2001
OSAIC WEALTH, INC.
December 18, 1997 - April 27, 1999
FIRST FUND DISTRIBUTORS, INC.
May 23, 1996 - December 16, 1996
FIRST PRIORITY INVESTMENT CORPORATION
March 22, 1995 - January 24, 1996
ALLIANCEBERNSTEIN INVESTMENTS, 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
Series 52TO
Date: 8/1/2023
Municipal Securities Representative ExaminationCurrent Firm
PERSHING ADVISOR SOLUTIONS LLC
CRD#: 36671 / SEC#: , 8-47425
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAS HOLDINGS LLC | HOLDING COMPANY | |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| HARRISON, BENJAMIN WARD | BOARD MEMBER, HEAD OF THE BUSINESS | 3121159 |
| KEARNEY, JAMES FRANCIS III | CHIEF RISK OFFICER (CRO) | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER | 5177277 |
| MUTTERER, FRANK PAUL | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2088419 |
| WEISS, NINA KATE | CHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER | 2642331 |
Disclosures
| Regulatory Event | 17 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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