DC
Dominic J. Carlo
CEROS FINANCIAL SERVICES
New York, NY 10004
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CRD#: 2731304
DC
Professional summary
Dominic Joseph Carlo is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in New York, New York.
Dominic is registered as a RR (Registered Representative) and started their career in finance in 2001. Dominic has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Dominic Joseph Carlo'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®
NoneExperience
Current
July 20, 2022 - Present
CEROS FINANCIAL SERVICES, INC.
Office #1: 80 Broad Street 29th Floor, New York, NY 10004BD
CRD#: 37869
New York, NY
Past
March 7, 2002 - July 21, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEW YORK, NY
Past
February 13, 2001 - March 27, 2002
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(7/21/2022)
RR
Arizona(7/21/2022)
RR
California(7/21/2022)
RR
Colorado(7/21/2022)
RR
Connecticut(7/22/2022)
RR
Delaware(8/10/2022)
RR
District of Columbia(7/21/2022)
RR
Florida(7/21/2022)
RR
Georgia(8/17/2022)
RR
Hawaii(9/16/2022)
RR
Indiana(8/2/2022)
RR
Kansas(7/21/2022)
RR
Kentucky(7/21/2022)
RR
Louisiana(7/21/2022)
RR
Maryland(7/21/2022)
RR
Michigan(7/21/2022)
RR
Minnesota(8/9/2022)
RR
Mississippi(7/21/2022)
RR
Missouri(7/21/2022)
RR
Nebraska(7/21/2022)
RR
Nevada(7/21/2022)
RR
New Jersey(7/21/2022)
RR
New York(7/21/2022)
RR
North Carolina(7/22/2022)
RR
North Dakota(7/21/2022)
RR
Ohio(7/21/2022)
RR
Pennsylvania(7/21/2022)
RR
Rhode Island(7/21/2022)
RR
South Carolina(8/9/2022)
RR
Tennessee(7/17/2025)
RR
Texas(7/21/2022)
RR
Utah(7/21/2022)
RR
Virginia(8/6/2022)
RR
Washington(8/8/2022)
RR
Wisconsin(7/21/2022)
RR
Wyoming(7/21/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS
CRD#: 37869 / SEC#: , 8-47955
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
