Anna P. Carucci
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.
Anna Patricia Carucci was a registered financial professional .
Anna is a previously registered financial professional and started their career in finance in 1998. Anna had worked at 4 firms and has passed the Series 63, Series 7TO, SIE 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
September 1, 2021 - November 29, 2021
PEOPLE'S UNITED ADVISORS, INC.
November 2, 2016 - November 29, 2021
PEOPLE'S SECURITIES, INC.
October 6, 2008 - November 23, 2016
GFA SECURITIES, LLC
April 29, 1998 - September 11, 2008
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 2/17/2024
General Securities Representative ExaminationCurrent Firm
PEOPLE'S UNITED ADVISORS, INC.
CRD#: 292454 / SEC#: 801-112648
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,076 |
| AUM (Assets Under Management) | $ 845,211,011 |
Red Flags
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