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RC

Roberto Caruso

LIVERMORE TRADING GROUP
New York, NY 10005
Some features on this profile are disabled
CRD#: 4866463
RC

Professional summary

Roberto Caruso is a registered financial professional currently at LIVERMORE TRADING GROUP, INC. located in New York, New York.

Roberto is registered as a RR (Registered Representative) and started their career in finance in 2004. Roberto has worked at 2 firms and has passed the Series 7A and Series 25 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 Roberto Caruso's 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

November 15, 2007 - Present

LIVERMORE TRADING GROUP, INC.

Office #1: 11 Wall Street, New York, NY 10005
BD
CRD#: 32968
New York, NY
Past

October 6, 2004 - November 15, 2007

MIDWOOD SECURITIES, INC.

BD
CRD#: 21520
NEW YORK, 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

General Industry/Product Exam
RR
Series 7A
Date: 7/27/2005
Floor Broker Representative Exam
General Industry/Product Exam
RR
Series 25
Date: 2/8/2005
NYSE Trading Assistant Examination
SRO Registrations
RR
New York Stock Exchange

Current Firm

LT
LIVERMORE TRADING GROUP, INC.
LIVERMORE TRADING GROUP, INC. | MALBIN SECURITIES CORP

CRD#: 32968 / SEC#: , 8-45248

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

Main Address
11 Wall Street, New York, NY 10005
Mailing Address
C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038
Phone number
(212) 742-0460
Established
New York since 10/09/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FINNERTY, ROBERT JAMESNON-VOTING SHAREHOLDER4324883
MCKENNA, PETERNON-VOTING SHAREHOLDER5200388
FITZGERALD, HEATHER MARIEFINOP/PFO/POO4427665
NAPOLITANO, VINCENT FRANKPRES/CEO/SECRETARY/TREASURER/CCO/COO/DIRECTOR/VOTING SHAREHOLDER3109342

Disclosures

Regulatory Event2

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

LIVERMORE TRADING GROUP, INC.

CRD#: 32968New York, NY 10005

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