Carl Delucia
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.
Carl Delucia, who also goes by Carlo Delucia, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1967. Carl had worked at 6 firms and has passed the Series 63 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 1991 - August 3, 2005
EAST SHORE PARTNERS, INC.
May 14, 1985 - July 1, 1991
GMST WORLD MARKETS, INC.
August 15, 1980 - July 12, 1983
DILLON, READ ENSKILDA PARTNERS
October 10, 1972 - July 12, 1983
DILLON, READ REAL ESTATE INC.
September 10, 1969 - October 26, 1976
DILLON, READ OVERSEAS CORPORATION
November 15, 1967 - July 1, 1983
SBC WARBURG DILLON READ 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
Series 40
Date: 10/5/1972
Registered Principal ExaminationCurrent Firm
EAST SHORE PARTNERS, INC.
CRD#: 28999 / SEC#: , 8-44039
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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