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CI

Carl S. Iovine

ACP SECURITIES
MIAMI, FL 33131
Some features on this profile are disabled
CRD#: 4519307
CI

Professional summary

Carl Stephen Iovine is a registered financial professional currently at ACP SECURITIES, LLC located in Miami, Florida.

Carl is registered as a RR (Registered Representative) and started their career in finance in 2005. Carl has worked at 3 firms and has passed the Series 66, SIE, Series 7 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) - BD

Click below to view Carl Stephen Iovine's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

December 18, 2007 - Present

ACP SECURITIES, LLC

Office #1: 1200 Brickell Avenue Suite 1700, Miami, FL 33131
BD
CRD#: 139049
MIAMI, FL
Past

November 16, 2006 - November 28, 2007

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

March 29, 2005 - March 13, 2006

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(12/18/2007)
RR
New York
(3/19/2009)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/18/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/28/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/27/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ACP SECURITIES, LLC
ACP SECURITIES, LLC

CRD#: 139049 / SEC#: , 8-67185

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

Main Address
1200 Brickell Avenue Suite 1700, Miami, FL 33131
Mailing Address
1200 Brickell Avenue Suite 1700, Miami, FL 33131
Phone number
(305) 670-4180
Established
Florida since 11/04/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (15 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#
ACP CAPITAL HOLDINGS, LLCSHAREHOLDER
ANDREWS, MICHAEL ALANCHIEF COMPLIANCE OFFICER6227932
ENDERE, ESTEBANCHIEF EXECUTIVE OFFICER4708937
GILMAN, ROBERT CRAIGFINOP1738412

Disclosures

Regulatory Event4

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

ACP SECURITIES, LLC

CRD#: 139049Miami, FL 33131

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