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CC

Carmine L. Cozelino

Some features on this profile are disabled
CRD#: 4319929
CC

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.

Carmine Louis Cozelino, who also goes by Carmine L Cozelino, was a registered financial professional .

Carmine is a previously registered financial professional and started their career in finance in 2001. Carmine had worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 39 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carmine L Cozelino

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

August 25, 2014 - November 16, 2023

AMERICAN ELM DISTRIBUTION PARTNERS, LLC

BD
CRD#: 153322
NEW YORK, NY
Past

December 16, 2008 - June 4, 2014

CION SECURITIES, LLC

BD
CRD#: 15487
NEW YORK, NY
Past

January 12, 2007 - December 1, 2008

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
NEW YORK, NY
Past

January 11, 2007 - December 1, 2008

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NEW YORK, NY
Past

January 24, 2006 - December 19, 2006

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

August 23, 2005 - January 10, 2006

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
MERRICK, NY
Past

August 5, 2005 - January 10, 2006

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

March 28, 2005 - August 2, 2005

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

February 18, 2003 - March 17, 2005

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
NEW YORK, NY
Past

January 24, 2002 - March 17, 2005

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

August 3, 2001 - October 16, 2001

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
UNIONDALE, NY

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
IAR
Series 65
Date: 2/11/2003
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/15/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/2/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 11/7/2010
Direct Participation Programs Principal Examination

Current Firm

AE
AMERICAN ELM DISTRIBUTION PARTNERS, LLC
AMERICAN ELM DISTRIBUTION PARTNERS, LLC | SQN SECURITIES LLC

CRD#: 153322 / SEC#: , 8-68523

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
155 Fleet Street, Portsmouth, NH 03801
Mailing Address
155 Fleet Street, Portsmouth, NH 03801
Phone number
(603) 766-4924
Established
Delaware since 01/14/2010
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
IDP HOLDINGS, INCMEMBER
GRANITE ISLAND HOLDINGS, LLCMEMBER
MURRAY, JESSICA LEECHIEF COMPLIANCE OFFICER4675076
PONTICELLO, MICHAEL CARLCEO & PRESIDENT4851169
RYAN, KIMBERLY ANNFINOP4316310

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.

Company Information

AMERICAN ELM DISTRIBUTION PARTNERS, LLC

CRD#: 153322

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