Arthur 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.
Arthur J Caruso, who also goes by Art Caruso, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1997. Arthur had worked at 5 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
July 15, 2004 - November 3, 2006
ESSEX & YORK, INC.
July 12, 2002 - July 21, 2004
DELTA ASSET MANAGEMENT COMPANY, LLC
January 10, 2001 - July 2, 2002
HORNBLOWER & WEEKS, INC.
May 10, 2000 - December 19, 2000
THE REGENCY GROUP, INC.
March 6, 1997 - May 10, 2000
R.D. WHITE & CO., 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
ESSEX & YORK, INC.
CRD#: 118495 / SEC#: , 8-53670
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Criminal | 1 |
| Arbitration | 1 |
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.
