Carrol A. Muccia
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.
Carrol Anthony Muccia JR was a registered financial professional .
Carrol is a previously registered financial professional and started their career in finance in 1968. Carrol had worked at 2 firms and has passed the Series 65, Series 63, SIE, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 1973 - July 17, 2018
FIRST MANHATTAN SECURITIES LLC
August 1, 1968 - June 3, 1973
AUERBACH, POLLAK & RICHARDSON, 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
PC
Date: 8/10/1977
AMEX Put and Call ExamSeries 1
Date: 10/19/1959
Registered Representative ExaminationSeries 40
Date: 4/5/1971
Registered Principal ExaminationCurrent Firm
FIRST MANHATTAN SECURITIES LLC
CRD#: 1845 / SEC#: 801-12411, 8-10438
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FMC GROUP HOLDINGS LP | LIMITED PARTNERSHIP | |
| WYDRA, ZACHARY A | CHIEF EXECUTIVE OFFICER | 2937857 |
| ASPEN, ANDREW JOSEPH | CHIEF LEGAL OFFICER | 5282749 |
| COVINO, JEREMY PAUL | CHIEF COMPLIANCE OFFICER (FOR PURPOSES OF FINRA RULE 3130) | 6794503 |
| PINTO, ALVARO SPINOLA | FINOP/PRINCIPAL OPERATIONS OFFICER | 6367887 |
| SAMMARCO, JOSEPH ANTHONY | CO-DIRECTOR OF OPERATIONS; HEAD OF SUPERVISION | 2982052 |
Regulatory assets under management
| Total Number of Accounts | 5,308 |
| AUM (Assets Under Management) | $ 29,853,233,052 |
Disclosures
| Regulatory Event | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2022 |
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.
