Domenick Carofine

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CRD#: 4403973

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.

Domenick Carofine, who also goes by Domenick Maurice Carofine, was a registered financial professional .

Domenick is a previously registered financial professional and started their career in finance in 2001. Domenick had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Domenick Maurice Carofine

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.

(1) 08/2023 Plymouth Rock, 581 Main Street, Woodbridge, NJ 07095;Not Investment Related;170 hours per month / 130 hours during securities trading hours; Title: Customer Service Representative ; Role: Processing changes, quoting, and answering questions related to auto, home and umbrella insurance for insureds and independent insurance agencies (2) 1/2023 Woodstock Farms, 96 Executive Ave, Edison, NJ 08817; Not Investment Related; 160 hours per month / 0 hours during securities trading hours; Title: Dumper Role: Working on production line that packages food snacks primarily nuts and dried fruits (3) 1/2001 Independent Licensed insurance Agent; Investment Related; Arizona, California, Florida, New Jersey, New York, North Carolina; Property / Casualty, fixed & indexed life insurance and annuity products, long-term care, and disability products

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

December 12, 2023 - April 10, 2025

LUMIERE FINANCIAL

RIA

CRD#: 319171

Middletown, NJ

Past

May 5, 2022 - November 14, 2023

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Iselin, NJ

Past

May 3, 2022 - November 14, 2023

MML INVESTORS SERVICES, LLC

CRD#: 10409

Iselin, NJ

Past

September 26, 2016 - April 29, 2022

EDWARD JONES

RIA

CRD#: 250

Middletown, NJ

Past

June 2, 2016 - April 29, 2022

EDWARD JONES

CRD#: 250

Middletown, NJ

Past

July 16, 2001 - June 8, 2016

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

MIDDLETOWN, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LUMIERE FINANCIAL

LUMIERE FINANCIAL | LUMIERE FINANCIAL GROUP LLC | LUMIERE FINANCIAL GROUP

CRD#: 319171 / SEC#: 801-123638

RIA

Registered Investment Advisory firm - (4/6/2022 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/28/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/23/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/11/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/14/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/2/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 7/6/2002

Investment Company Products/Variable Contracts Principal Examination

Current Firm

LUMIERE FINANCIAL

LUMIERE FINANCIAL | LUMIERE FINANCIAL GROUP LLC | LUMIERE FINANCIAL GROUP

CRD#: 319171 / SEC#: 801-123638

RIA

Registered Investment Advisory firm - (4/6/2022 Approved)

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Contact information

Main Address

675 Third Avenue Suite 920, New York, NY 10017

Mailing Address

Phone number

(212) 516-5900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LUMIERE FINANCIAL GROUP LLC (10/29/2025)

Regulatory assets under management

Total Number of Accounts	246
AUM (Assets Under Management)	$ 59,927,014

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.

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Firm Stability Insights

Domenick Carofine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

EDWARD JONES

EDWARD JONES

ALLSTATE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LUMIERE FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 7/28/2016

Series 63

Date: 2/23/2002

SIE

Date: 10/1/2018

Series 7

Date: 7/11/2016

Series 6

Date: 7/14/2001

Series 51

Date: 6/2/2003

Series 26

Date: 7/6/2002

Current Firm

LUMIERE FINANCIAL

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LUMIERE FINANCIAL

TRUST BUT VERIFY

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