Thomas F. Caraisco
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 Francis Caraisco was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1967. Thomas had worked at 10 firms and has passed the Series 63, SIE, Series 16, Series 1, Series 8 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
July 8, 1997 - December 31, 2020
PORTSMOUTH FINANCIAL SERVICES
November 29, 1996 - December 31, 2020
PORTSMOUTH FINANCIAL SERVICES
October 8, 1993 - November 29, 1996
TRANSGLOBAL INVESTMENTS INC.
June 4, 1990 - October 13, 1993
EMMETT A LARKIN COMPANY, INC.
April 10, 1986 - May 21, 1990
HENRY F. SWIFT & CO.
February 2, 1981 - June 4, 1984
UBS ASSET MANAGEMENT (US) INC.
January 7, 1981 - April 9, 1986
UBS FINANCIAL SERVICES INC.
August 16, 1978 - January 12, 1981
BIRR, WILSON & CO., INC.
September 28, 1973 - November 24, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 1, 1971 - August 20, 1972
MCDONALD & MILLER SECURITIES INC
October 27, 1967 - November 1, 1971
FIRST CALIFORNIA COMPANY, INCORPORATED
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: 10/26/1967
Registered Representative ExaminationSeries 8
Date: 7/2/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 9/19/1978
Registered Principal ExaminationCurrent Firm
PORTSMOUTH FINANCIAL SERVICES
CRD#: 13980 / SEC#: , 8-30097
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 3,671,748 |
Disclosures
| Regulatory Event | 4 |
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.
