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Giulio Favuzza

CRD# 4041933·Registered 1999 - 2014
Previously Registered: Being a previously registered professional could mean that Giulio 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.

Professional Summary

Giulio Favuzza, who also goes by Giulio VIro Favuzza, was a registered financial advisor. Giulio was a previously registered financial professional and started their career in finance 1999 - 2014. Giulio had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Giulio Viro Favuzza

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

27 years in the financial services industry

Current & Past Employments

INVESTORS CAPITAL CORP.·CRD# 30613
RIA
Lynn, MA
June 28, 2012 - April 24, 2014
INVESTORS CAPITAL CORP.·CRD# 30613
BD
Lynn, MA
June 26, 2012 - April 24, 2014
LPL FINANCIAL LLC·CRD# 6413
RIA
West Newton, MA
February 22, 2012 - May 29, 2012
LPL FINANCIAL LLC·CRD# 6413
BD
West Newton, MA
February 16, 2012 - May 29, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Burlington, MA
September 13, 2010 - February 7, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Burlington, MA
July 15, 2010 - February 7, 2012
NYLIFE SECURITIES LLC·CRD# 5167
BD
Waltham, MA
January 1, 2010 - May 21, 2010
NEW ENGLAND SECURITIES·CRD# 615
BD
Boston, MA
August 9, 2007 - February 28, 2008
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP·CRD# 7325
BD
Boston, MA
August 16, 2001 - June 23, 2003
BOFA DISTRIBUTORS, INC.·CRD# 30683
BD
Boston, MA
November 10, 1999 - March 15, 2001

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Current Firm

IC
INVESTORS CAPITAL CORP.

INVESTORS CAPITAL ADVISORY | INVESTORS CAPITAL CORP.

CRD#: 30613 / SEC#: 801-62341, 8-45054
BD
Terminated by SEC on 01/17/2017

Contact Information

Established

Massachusetts since 07/06/1992

Firm Type

Corporation

Fiscal Year End

December

Documents

Latest Form ADV

Part 2 Brochures

ICA PART 2A BROCHURE & APPENDIX 1 (10/5/2016)

Direct owners and executive officers

NamePositionCRD#
INVESTORS CAPITAL HOLDINGS, LLCOWNER—
BRETON, BERNARD ANDREBD CHIEF COMPLIANCE OFFICER2030660
OLSON, GREGORY ALANSECRETARY2692482
SHELSON, MARK PAULTREASURER1819252
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604

Disclosures

Regulatory Event

22

Arbitration

11

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 2010About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2007About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 2007About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 1999About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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