Victor C. Caruso

KROLL SECURITIES LLC

Washington DC, DC 20004

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CRD#: 4026668

Professional summary

Victor Charles Caruso is a registered financial professional currently at KROLL SECURITIES LLC located in Washington Dc, District Of Columbia.

Victor is registered as a RR (Registered Representative) and started their career in finance in 1999. Victor has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Victor Charles Caruso's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 20, 2019 - Present

KROLL SECURITIES LLC

Office #1: 555 12th St. Nw, Suite 600, Washington Dc, DC 20004Office #2: One World Trade 285 Fulton Street 31st Floor, New York, NY, 10007

CRD#: 36927

Washington DC, DC

Past

June 8, 2004 - July 18, 2007

HOULIHAN LOKEY CAPITAL, INC.

CRD#: 17708

LOS ANGELES, CA

Past

June 27, 2003 - May 18, 2004

RA CAPITAL ADVISORS LLC

CRD#: 40992

SAN DIEGO, CA

Past

March 29, 2000 - May 8, 2003

THOMAS WEISEL PARTNERS LLC

CRD#: 46237

SAN FRANCISCO, CA

Past

November 19, 1999 - March 28, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(4/14/2020)

California
(11/18/2019)

District of Columbia
(11/1/2019)

Florida
(6/2/2025)

Hawaii
(3/5/2021)

Illinois
(4/4/2022)

New York
(8/2/2019)

North Carolina
(11/16/2021)

South Carolina
(6/2/2025)

Texas
(8/24/2021)

Washington
(10/16/2020)

Exams

State Security Law Exam

Series 63

Date: 8/2/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 4/19/2019

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 2/26/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KROLL SECURITIES LLC

CRD#: 36927 / SEC#: , 8-47558

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1 S. Wacker Drive Suite 700, Chicago, IL 60606

Mailing Address

1 S. Wacker Drive Suite 700, Chicago, IL 60606

Phone number

(312) 697-4600

Established

Delaware since 06/19/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
KROLL, LLC	OWNER
ATTANASIO, ELIZABETH MARIE	PRINCIPAL FINANCIAL OFFICER	5325007
ATTANASIO, ELIZABETH MARIE	FINOP	5325007
ATTANASIO, ELIZABETH MARIE	PRINCIPAL OPERATIONS OFFICER	5325007
BARTELL, ROBERT ANTHONY	VICE CHAIRMAN	4998599
BENN, JOSHUA KOGAN	MANAGING DIRECTOR	3166674
BLOWERS, DAVID CHARLES JR.	CEO	5960307
BURT, STEPHEN M	PRESIDENT	2679117
CAPITMAN, ANDREW WILLIAM	MANAGING DIRECTOR	2321386
JANCOVIC, GIZELLE MARIE	CHIEF COMPLIANCE OFFICER	5654006
LU, DAVID HAI GE	MANAGING DIRECTOR	3069820
MOON, STEVEN JAE-HO	MANAGING DIRECTOR	4860246

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Victor C. Caruso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Victor Charles Caruso's CRS (Customer Relationship Summary).

Certified licenses

Experience

HOULIHAN LOKEY CAPITAL, INC.

RA CAPITAL ADVISORS LLC

THOMAS WEISEL PARTNERS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/2/2019

Series 79TO

Date: 4/19/2019

SIE

Date: 2/26/2019

Series 7

Date: 11/18/1999

FINRA

Current Firm

KROLL SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

KROLL SECURITIES LLC

TRUST BUT VERIFY

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