Salvatore E. Ottomanelli
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.
Salvatore Eugene Ottomanelli was a registered financial advisor .
Salvatore is a previously registered financial advisor and started their career in finance in 2003. Salvatore had worked at 7 firms and has passed the Series 66, 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
October 8, 2012 - December 3, 2012
JOHN CARRIS INVESTMENTS LLC
June 30, 2009 - October 5, 2012
ROCKWELL SECURITIES LLC
March 3, 2009 - May 7, 2009
GUNNALLEN FINANCIAL, INC
January 12, 2009 - May 7, 2009
GUNNALLEN FINANCIAL, INC
August 13, 2008 - August 21, 2008
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
February 8, 2008 - June 20, 2008
AMERICA'S CHOICE EQUITIES LLC
July 13, 2005 - July 30, 2005
GUNNALLEN FINANCIAL, INC
February 10, 2005 - July 20, 2005
JOSEPH STEVENS & CO., INC.
February 13, 2003 - February 7, 2005
MILESTONE FINANCIAL SERVICES, INC.
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
JOHN CARRIS INVESTMENTS LLC
CRD#: 145767 / SEC#: , 8-67751
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVICTUS CAPITAL INC | HOLDING COMPANY | |
| CARRIS, GEORGE WILLIAM MR. | CEO, COO, CCO | 3079577 |
| CLARK, MICHAEL KEVIN | MANAGING DIRECTOR | |
| NELSON, STEVEN | OWNER |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
