James A. 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.
James Anthony Caruso was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2011 - December 3, 2012
DETWILER FENTON WEALTH MANAGEMENT INC
April 10, 2000 - December 3, 2012
DETWILER FENTON & CO.
April 30, 1998 - April 11, 2000
KIMBALL & CROSS INVESTMENT MANAGEMENT CORP.
State Registrations and Notice Filings
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Exams
Current Firm
DETWILER FENTON WEALTH MANAGEMENT INC
CRD#: 16063 / SEC#: , 8-33312
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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