Isaia Carucci
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.
Isaia Carucci, who also goes by Isaia Milon Carucci, was a registered financial professional .
Isaia is a previously registered financial professional and started their career in finance in 1999. Isaia had worked at 2 firms and has passed the Series 65, 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
September 3, 2015 - April 25, 2018
LCM CAPITAL MANAGEMENT INC
August 27, 1999 - April 9, 2003
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
LCM CAPITAL MANAGEMENT INC
CRD#: 111074 / SEC#: 801-67893
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
Current Firm
LCM CAPITAL MANAGEMENT INC
CRD#: 111074 / SEC#: 801-67893
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 932 |
| AUM (Assets Under Management) | $ 365,277,954 |
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.
