Thomas W. Caruso
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.
Thomas William Caruso was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 4 firms and has passed the Series 65, Series 66, SIE, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2017 - January 4, 2022
PRIVATE PORTFOLIO PARTNERS, LLC
February 4, 2016 - December 31, 2021
LPL FINANCIAL LLC
October 24, 2005 - February 10, 2016
CETERA FINANCIAL SPECIALISTS LLC
August 12, 1999 - October 24, 2005
C. J. M. PLANNING CORP.
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 62
Date: 9/24/2014
Corporate Securities Limited Representative ExaminationCurrent Firm
PRIVATE PORTFOLIO PARTNERS, LLC
CRD#: 165616 / SEC#: 801-81108
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 2,652 |
| AUM (Assets Under Management) | $ 1,053,300,488 |
Red Flags
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