Carl D. Martellaro
Professional summary
Carl Dominic Martellaro was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Carl is a previously registered financial professional and started their career in finance in 1968. Prior to being barred, Carl had worked at 12 firms, which includes FIRST SECURITIES USA INC., BROOKSTREET SECURITIES CORPORATION, FASCO INTERNATIONAL INC., MUTUAL SECURITIES INC., FIRST ASSOCIATED SECURITIES GROUP INC., FIRST AFFILIATED SECURITIES INC., EDELSTEIN CAMPBELL & CO. INC., BELFORD HAMMERBECK INC, BIRR WILSON & CO. INC., SUTRO COMPANY INC, MITCHUM JONES & TEMPLETON INCORPORATED, SUTRO CO INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2001 - August 16, 2004
FIRST SECURITIES USA, INC.
May 25, 2001 - August 10, 2001
BROOKSTREET SECURITIES CORPORATION
May 21, 1996 - May 9, 2000
FIRST SECURITIES USA, INC.
July 14, 1993 - February 15, 1994
FASCO INTERNATIONAL, INC.
January 3, 1989 - October 10, 1989
MUTUAL SECURITIES, INC.
October 17, 1988 - February 2, 2000
FIRST ASSOCIATED SECURITIES GROUP, INC.
March 14, 1980 - January 5, 1989
FIRST AFFILIATED SECURITIES, INC.
May 12, 1978 - April 3, 1980
EDELSTEIN CAMPBELL & CO., INC.
November 12, 1976 - May 13, 1978
BELFORD HAMMERBECK, INC
April 1, 1974 - October 26, 1976
BIRR, WILSON & CO., INC.
August 6, 1973 - April 25, 1974
SUTRO COMPANY INC
January 11, 1972 - September 21, 1973
MITCHUM, JONES & TEMPLETON INCORPORATED
July 2, 1968 - February 12, 1972
SUTRO 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 1
Date: 6/27/1968
Registered Representative ExaminationSeries 40
Date: 2/3/1977
Registered Principal ExaminationCurrent Firm
FIRST SECURITIES USA, INC.
CRD#: 39986 / SEC#: , 8-48922
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
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