Neil G. Carousso
NGC FINANCIAL
Bayside, NY 11361
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CRD#: 2523062
Professional summary
Neil George Carousso, CFP® is a registered financial advisor currently at NGC FINANCIAL, LLC located in Bayside, New York and NGC FINANCIAL, LLC located in Bayside, New York.
Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Neil has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 51, Series 24 and Series 27 exams.
Question & Answer
What are your service offerings?
Insurance Planning
Comprehensive Financial Planni...
Retirement Income Management
Social Security Planning
Estate Planning
Investment Planning
Tax Planning
Retirement Planning
Are you a "fiduciary"?
Yes
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.
NEIL G. CAROUSSO, CPA
NON-INVESTMENT RELATED BUSINESS
ADDRESS: 3601 208th Street
Bayside, NY 11361
NATURE OF BUSINESS: ACCOUNTING & TAX PREPARATION.
POSITION: OWNER
START DATE: 10/89
END DATE: PRESENT
TIME DEVOTED: BUSINESS IS SEASONAL AND REQUIRES APPROX. 24 HOURS WEEK, FROM FEB-APRIL. CONSISTS OF
INDIVIDUAL TAX CLIENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Neil George Carousso's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2002
Experience
Current
September 12, 2012 - Present
NGC FINANCIAL, LLC
Office #1: 3601 208th Street, Bayside, NY 11361RIA
CRD#: 139992
Bayside, NY
Current
January 10, 2008 - Present
NGC FINANCIAL, LLC
Office #1: 36-01 208th Street, Bayside, NY 11361Office #2: 201-09 Northern Blvd, Bayside, NY 11361Office #3: 36-01 208th Street, Bayside, NY 11361BD
CRD#: 145082
Bayside, NY
Past
September 12, 2000 - October 15, 2002
NGC FINANCIAL, LLC
BD
CRD#: 104057
WHITESTONE, NY
Past
September 4, 1998 - January 5, 2000
FIRST SECURITY INVESTMENTS, INC.
BD
CRD#: 24035
KINGSTON, PA
Past
October 10, 1997 - October 29, 2008
RNR SECURITIES, L.L.C.
BD
CRD#: 43689
EAST MEADOW, NY
Past
September 7, 1994 - August 28, 1998
FIRST ASSET MANAGEMENT, INC.
BD
CRD#: 17341
GARDEN CITY, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NF
NGC FINANCIAL, LLC
NGC FINANCIAL, LLC
CRD#: 139992 / SEC#: 801-129067
RIA
Registered Investment Advisory firm - (11/15/2023 Approved)Florida
Registered Investment Advisory firm - (11/22/2023 Terminated)New York
Registered Investment Advisory firm - (11/22/2023 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(2/20/2008)
RR
California(1/24/2008)
RR
Connecticut(1/11/2008)
RR
Delaware(1/28/2022)
RR
District of Columbia(7/27/2010)
RR
Florida(1/16/2008)
RR
Georgia(1/11/2008)
RR
Illinois(2/13/2008)
RR
Maryland(1/31/2008)
RR
Massachusetts(2/4/2008)
RR
New Jersey(1/14/2008)
RR
New York(1/10/2008)
IAR
New York(10/5/2021)
RR
North Carolina(2/22/2008)
RR
Pennsylvania(2/15/2008)
RR
Texas(2/22/2008)
RR
Vermont(2/21/2008)
RR
Washington(1/11/2008)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NF
NGC FINANCIAL, LLC
NGC FINANCIAL, LLC
CRD#: 139992 / SEC#: 801-129067
RIA
Registered Investment Advisory firm - (11/15/2023 Approved)Florida
Registered Investment Advisory firm - (11/22/2023 Terminated)New York
Registered Investment Advisory firm - (11/22/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3601 208th Street, Bayside, NY 11361
Mailing Address
Phone number
(718) 423-1100
Established
Firm type
Fiscal year end
# of Employees
1
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 108 |
| AUM (Assets Under Management) | $ 57,110,396 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 10/16/2023 |
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.
