Keri-ann S. Carozza
Professional summary
Keri-ann S Carozza, who also goes by Keri Ann S Toritto, Keri Ann S. Toritto, Keri Ann Sondra Toritto, Keri-ann Sondra Toritto Ms., Keri-ann Sondra Toritto, Keriann Sondra Toritto, is a registered financial professional currently at AQR INVESTMENTS, LLC located in Greenwich, Connecticut.
Keri-ann is registered as a RR (Registered Representative) and started their career in finance in 1998. Keri-ann has worked at 18 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Keri-ann S Carozza's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 20, 2018 - Present
AQR INVESTMENTS, LLC
Office #1: One Greenwich Plaza Suite 130, Greenwich, CT 06830May 28, 2014 - November 19, 2018
ALPS DISTRIBUTORS, INC.
November 15, 2012 - March 31, 2014
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
July 2, 2007 - March 6, 2012
SANFORD C. BERNSTEIN & CO., LLC
April 10, 2007 - March 6, 2012
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 10, 2006 - April 3, 2007
INVESCO CAPITAL MARKETS, INC.
March 10, 2006 - April 3, 2007
MORGAN STANLEY DISTRIBUTION, INC.
March 10, 2006 - April 3, 2007
MORGAN STANLEY & CO. LLC
March 10, 2006 - April 4, 2007
MORGAN STANLEY DISTRIBUTORS INC.
November 3, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
September 15, 2004 - October 29, 2004
DEAM INVESTOR SERVICES, INC.
October 15, 2003 - October 29, 2004
DWS DISTRIBUTORS, INC.
July 1, 2003 - September 24, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 21, 2002 - September 24, 2003
PRUCO SECURITIES, LLC.
October 14, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 12, 2000 - October 11, 2002
IFMG SECURITIES, INC.
November 9, 1998 - April 1, 1999
IDS LIFE INSURANCE COMPANY
November 9, 1998 - April 1, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/20/2018)
Exams
FINRA
Current Firm
AQR INVESTMENTS, LLC
CRD#: 289244 / SEC#: , 8-69990
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AQR CAPITAL MANAGEMENT HOLDINGS (B-D), LLC | PARENT COMPANY | |
| ANDRADE, GREGOR MASINI | CHIEF EXECUTIVE OFFICER | 2265718 |
| HOWARD, JOHN BRADLEY | BOARD OF MANAGERS | 3132622 |
| KABILLER, DAVID GARY | BOARD OF MANAGERS | 1736385 |
| MELLAS, STEPHEN JOSEPH | BOARD OF MANAGERS | 1505043 |
| PRINCE, STEPHANIE NICOLE | CHIEF COMPLIANCE OFFICER | 2618015 |
| RYAN, PATRICK EDMUND | CHIEF FINANCIAL OFFICER | 2822527 |
| WILLCOX, HERBERT JAMES | BOARD OF MANAGERS & CHIEF LEGAL OFFICER | 1868426 |
Red Flags
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