Carmen J. Scrafano
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.
Carmen Joseph Scrafano, who also goes by Carmen Duke, Duke Scrafano, was a registered financial professional .
Carmen is a previously registered financial professional and started their career in finance in 1970. Carmen had worked at 11 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2012 - January 14, 2013
SIGMA FINANCIAL CORPORATION
February 1, 2007 - March 5, 2010
EQUITABLE ADVISORS, LLC
December 11, 2001 - August 5, 2005
OSAIC FS, INC.
April 3, 1996 - December 13, 2001
EQUITAS AMERICA, LLC
October 10, 1985 - April 2, 1996
MARINER FINANCIAL SERVICES, INC.
December 15, 1978 - January 1, 1985
U.S. MUTUAL SECURITIES CORP.
July 18, 1977 - January 14, 1979
MUTUAL SERVICE CORPORATION
May 29, 1975 - May 29, 1977
EDGEMONT SECURITIES CORPORATION
December 19, 1974 - February 2, 1976
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 29, 1974 - June 19, 1975
WORLD CAPITAL BROKERAGE, INC.
March 26, 1970 - November 11, 1974
ALEXANDER HAMILTON FINANCIAL INC.
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: 7/25/1968
Registered Representative ExaminationCurrent Firm
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
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.
