Anthony C. Caruso

CARUSO AND COMPANY, P.A., CERTIFIED PUBLIC ACCOUNTANTS

Deerfield Beach, FL 33441

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CRD#: 3080773

Professional summary

Anthony Carmen Caruso is a registered financial advisor currently at CARUSO AND COMPANY, P.A., CERTIFIED PUBLIC ACCOUNTANTS located in Deerfield Beach, Florida.

Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Anthony has worked at 3 firms and has passed the Series 65 and Series 6 exams.

Question & Answer

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.

CPA, TAX PREPARATION AND ACCOUNTING LOCATED AT 629 E. HILLSBORO BLVD, DEERFIELD BEACH, FL 33441. SPEND APPROX 90% OF TIME AT THIS OCCUPATION

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Carmen Caruso'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®

None

Experience

Current

June 29, 1999 - Present

CARUSO AND COMPANY, P.A., CERTIFIED PUBLIC ACCOUNTANTS

Office #1: 629 E. Hillsboro Blvd, Deerfield Beach, FL 33441

RIA

CRD#: 142685

Deerfield Beach, FL

Past

September 9, 1998 - October 10, 2006

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

June 30, 1998 - September 11, 1998

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

POUGHKEEPSIE, NY

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.

Highlighted states indicate IAR registrations

IAR

Florida
(6/29/1999)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/29/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 6/29/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CARUSO AND COMPANY, P.A., CERTIFIED PUBLIC ACCOUNTANTS

CARUSO AND COMPANY, P.A. | CARUSO AND COMPANY, P.A., CERTIFIED PUBLIC ACCOUNTANTS

CRD#: 142685 / SEC#: 801-71277

RIA

Registered Investment Advisory firm - (6/21/2012 Terminated)

Florida

Registered Investment Advisory firm - (6/29/1999 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

629 E. Hillsboro Blvd, Deerfield Beach, FL 33441

Mailing Address

Phone number

(954) 571-2020

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	117
AUM (Assets Under Management)	$ 65,600,400

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Anthony C. Caruso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Carmen Caruso's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARUSO AND COMPANY, P.A., CERTIFIED PUBLIC ACCOUNTANTS

SECURITIES SERVICE NETWORK, LLC

PRIME CAPITAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/29/1999

Series 6

Date: 6/29/1998

Current Firm

CARUSO AND COMPANY, P.A., CERTIFIED PUBLIC ACCOUNTANTS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CARUSO AND COMPANY, P.A., CERTIFIED PUBLIC ACCOUNTANTS

TRUST BUT VERIFY

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