Anthony Caruso

CARUSO FAMILY FINANCIAL ADVISORS (CFFA) LLC

San Jose, CA 95160

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CRD#: 6058056

Professional summary

Anthony Caruso, who also goes by Antonino Caruso, is a registered financial advisor currently at CARUSO FAMILY FINANCIAL ADVISORS (CFFA) LLC located in San Jose, California and LIGHTPATH CAPITAL, INC located in Southlake, Texas.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Anthony has worked at 8 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Antonino Caruso

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.

Caruso Family Financial Advisors, LLC. (CFFA), San Jose, CA; Registered Investment Advisory; Start Date: 2019; Position: CEO-CCO;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony 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

January 14, 2020 - Present

CARUSO FAMILY FINANCIAL ADVISORS (CFFA) LLC

Office #1: 6525 Crown Blvd. # 20775, San Jose, CA 95160

RIA

CRD#: 306593

San Jose, CA

Current

May 24, 2021 - Present

LIGHTPATH CAPITAL, INC

Office #1: 1560 E. Southlake Blvd., Suite 100, Southlake, TX 76092

CRD#: 34617

Southlake, TX

Past

January 30, 2019 - March 4, 2020

WHITEHALL-PARKER SECURITIES, INC.

RIA

CRD#: 10608

SAN RAFAEL, CA

Past

January 7, 2019 - March 4, 2020

WHITEHALL-PARKER SECURITIES, INC.

CRD#: 10608

SAN RAFAEL, CA

Past

July 10, 2017 - December 23, 2019

TAYLOR ADVISORY GROUP

RIA

CRD#: 288437

Fresno, CA

Past

February 22, 2017 - July 10, 2017

ONE SOURCE HEALTH & WEALTH MANAGEMENT

RIA

CRD#: 194511

Fresno, CA

Past

November 2, 2016 - December 23, 2016

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Fremont, CA

Past

September 6, 2016 - December 22, 2016

SILICON PRIVATE WEALTH, LLC

RIA

CRD#: 284145

FREMONT, CA

Past

August 15, 2012 - September 6, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN JOSE, CA

Past

July 2, 2012 - September 6, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN JOSE, CA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

California
(1/14/2020)

California
(5/25/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/10/2012

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/23/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/29/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CARUSO FAMILY FINANCIAL ADVISORS (CFFA) LLC

CRD#: 306593 / SEC#:

California

Registered Investment Advisory firm - (1/14/2020 Approved)

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Contact information

Main Address

4990 Speak Lane Suite 280, San Jose, CA 95118

Mailing Address

Phone number

(408) 440-2206

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	94
AUM (Assets Under Management)	$ 15,385,363

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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Advisor Monitoring

Firm Stability Insights

Anthony Caruso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Caruso's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIGHTPATH CAPITAL, INC

WHITEHALL-PARKER SECURITIES, INC.

WHITEHALL-PARKER SECURITIES, INC.

TAYLOR ADVISORY GROUP

ONE SOURCE HEALTH & WEALTH MANAGEMENT

PURSHE KAPLAN STERLING INVESTMENTS

SILICON PRIVATE WEALTH, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 8/10/2012

Series 7TO

Date: 1/2/2023

SIE

Date: 12/23/2016

Series 7

Date: 6/29/2012

FINRA

Current Firm

CARUSO FAMILY FINANCIAL ADVISORS (CFFA) LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CARUSO FAMILY FINANCIAL ADVISORS (CFFA) LLC

TRUST BUT VERIFY

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