Daniel J. Carriazo
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.
Daniel Jose Carriazo was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2001. Daniel had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2012 - April 24, 2012
NEW ENGLAND SECURITIES
June 16, 2009 - September 13, 2010
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - September 13, 2010
CHASE INVESTMENT SERVICES CORP.
March 31, 2009 - May 2, 2009
WAMU INVESTMENTS, INC.
April 18, 2008 - March 17, 2009
OPPENHEIMER & CO. INC.
April 11, 2008 - March 17, 2009
OPPENHEIMER & CO. INC.
May 29, 2007 - April 17, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - April 17, 2008
CITIGROUP GLOBAL MARKETS INC.
May 11, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
February 6, 2004 - September 1, 2004
CITICORP INVESTMENT SERVICES
January 2, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
November 13, 2001 - January 3, 2003
WELLS FARGO CLEARING SERVICES, LLC
November 9, 2001 - January 3, 2003
WELLS FARGO CLEARING SERVICES, 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
Current Firm
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
