VC
Victor C. Caruso
KROLL SECURITIES
Washington DC, DC 20004
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CRD#: 4026668
VC
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"?
No
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.
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®
NoneExperience
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, 10007BD
CRD#: 36927
Washington DC, DC
Past
June 8, 2004 - July 18, 2007
HOULIHAN LOKEY CAPITAL, INC.
BD
CRD#: 17708
LOS ANGELES, CA
Past
June 27, 2003 - May 18, 2004
RA CAPITAL ADVISORS LLC
BD
CRD#: 40992
SAN DIEGO, CA
Past
March 29, 2000 - May 8, 2003
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
SAN FRANCISCO, CA
Past
November 19, 1999 - March 28, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(4/14/2020)
RR
California(11/18/2019)
RR
District of Columbia(11/1/2019)
RR
Florida(6/2/2025)
RR
Hawaii(3/5/2021)
RR
Illinois(4/4/2022)
RR
New York(8/2/2019)
RR
North Carolina(11/16/2021)
RR
South Carolina(6/2/2025)
RR
Texas(8/24/2021)
RR
Washington(10/16/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 4/19/2019
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KS
KROLL SECURITIES LLC
DUFF & PHELPS SECURITIES CO. | PAGEMILL PARTNERS | KROLL SECURITIES LLC | KROLL INVESTMENT BANKING | KROLL CORPORATE FINANCE | GROWTH CAPITAL PARTNERS | DUFF & PHELPS SECURITIES LLC
CRD#: 36927 / SEC#: , 8-47558
BD
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 OPERATIONS OFFICER | 5325007 |
| ATTANASIO, ELIZABETH MARIE | FINOP | 5325007 |
| ATTANASIO, ELIZABETH MARIE | PRINCIPAL FINANCIAL 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 | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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