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CS

Carol S. Severino

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CRD#: 419202
CS

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.

Carol Sue Severino was a registered financial advisor .

Carol is a previously registered financial advisor and started their career in finance in 1974. Carol had worked at 5 firms and has passed the Series 63, Series 1, Series 28, Series 53, Series 4 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

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

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

Past

September 10, 2007 - March 24, 2010

AMFIN INVESTMENT SERVICES, INC.

RIA
CRD#: 13945
CLEVELAND, OH
Past

January 16, 1984 - August 5, 2010

AMFIN INVESTMENT SERVICES, INC.

BD
CRD#: 13945
CLEVELAND, OH
Past

November 9, 1982 - May 20, 1983

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
Past

February 9, 1978 - November 17, 1982

DALEY & COMPANY

BD
CRD#: 6282
Past

August 26, 1977 - March 13, 1978

RONEY & CO. L.L.C.

BD
CRD#: 900
Past

August 22, 1974 - September 2, 1977

FULTON, REID & STAPLES, INC.

BD
CRD#: 336

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/12/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 8/17/1974
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 6/17/1991
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/18/1984
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/20/1983
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/26/1983
General Securities Principal Examination

Current Firm

AI
AMFIN INVESTMENT SERVICES, INC.
AMFIN INVESTMENT SERVICES, INC. | OHIO SAVINGS SECURITIES, INC. | AMTRUST SECURITIES | AMTRUST INVESTMENT SERVICES, INC. | AMTRUST INVESTMENT SERVICES

CRD#: 13945 / SEC#: , 8-30076

BD
Terminated by SEC on 09/05/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Ohio since 06/20/1983
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AMFIN FINANCIAL CORPORATIONOWNER
GOLDBERG, DAVIDPRESIDENT1178144
GOLDBERG, ROBERTCHIEEF EXECUTIVE OFFICER AND ASSISTANT SECRETARY1503923
PRESBY, ALAN WALTERCHIEF FINANCIAL OFFICER, TREASURER AND SECRETARY2013388
SEVERINO, CAROL SUESENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER419202

Disclosures

Regulatory Event1
Arbitration2

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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Company Information

AMFIN INVESTMENT SERVICES, INC.

CRD#: 13945

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