Patrick A. Carofano
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.
Patrick Anthony Carofano was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1973. Patrick had worked at 5 firms and has passed the Series 63, Series 55, Series 7, Series 5, 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
January 1, 1999 - November 27, 2012
NETWORK 1 FINANCIAL SECURITIES INC.
March 17, 1993 - February 13, 1995
J.P. MORGAN SECURITIES INC.
September 22, 1989 - March 20, 1993
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
January 9, 1987 - April 27, 1988
E. F. HUTTON & COMPANY INC
June 7, 1973 - July 6, 1984
CREDIT SUISSE SECURITIES (USA) LLC
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 55
Date: 1/22/1999
Limited Representative-Equity Trader ExamSeries 5
Date: 10/20/1982
Interest Rate Options ExaminationSeries 1
Date: 6/4/1973
Registered Representative ExaminationSeries 40
Date: 11/2/1978
Registered Principal ExaminationCurrent Firm
NETWORK 1 FINANCIAL SECURITIES INC.
CRD#: 13577 / SEC#: , 8-29471
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 4 |
Red Flags
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