Biaggio A. Caroleo
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.
Biaggio Anthony Caroleo, who also goes by Blaise Anthony Caroleo, was a registered financial professional .
Biaggio is a previously registered financial professional and started their career in finance in 2006. Biaggio had worked at 6 firms and has passed the Series 63, SIE 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
December 10, 2019 - May 10, 2022
SW FINANCIAL
November 4, 2016 - December 10, 2019
WORDEN CAPITAL MANAGEMENT LLC
August 21, 2013 - November 9, 2016
LEGEND SECURITIES, INC.
June 20, 2012 - August 30, 2013
JOSEPH GUNNAR & CO. LLC
April 15, 2011 - June 22, 2012
BROOKSTONE SECURITIES, INC.
February 22, 2010 - June 28, 2010
BROOKSTONE SECURITIES, INC.
December 4, 2006 - February 9, 2009
J.P. TURNER & COMPANY, L.L.C.
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
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
