Deric P. Bagarozza
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.
Deric Patrick Bagarozza, who also goes by Deric Bagarozza, was a registered financial professional .
Deric is a previously registered financial professional and started their career in finance in 1998. Deric had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 25 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 14, 2014 - January 9, 2017
NORTH SOUTH CAPITAL, LLC
January 8, 2009 - July 7, 2014
BLAYLOCK VAN, LLC
May 7, 2007 - May 1, 2008
MINT BROKERS
May 7, 2007 - January 6, 2009
BGC FINANCIAL, L.P.
May 10, 2004 - January 25, 2007
LEHMAN BROTHERS INC.
May 10, 1999 - April 28, 2004
DIRECT BROKERAGE, INC.
December 7, 1998 - March 4, 1999
JOSEPH STEVENS & 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
Series 55
Date: 8/21/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 6/14/2001
NYSE Trading Assistant ExaminationCurrent Firm
NORTH SOUTH CAPITAL, LLC
CRD#: 148158 / SEC#: , 8-67979
Contact information
FINRA licenses (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 136 |
| AUM (Assets Under Management) | $ 25,887,891 |
Disclosures
| Regulatory Event | 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.
