John Caruso

MOOMOO FINANCIAL

JERSEY CITY, NJ 07311

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CRD#: 6813446

Professional summary

John Caruso III, who also goes by John Caruso, is a registered financial professional currently at MOOMOO FINANCIAL INC. located in Jersey City, New Jersey and FUTU CLEARING INC located in Dallas, Texas.

John is registered as a RR (Registered Representative) and started their career in finance in 2017. John has worked at 4 firms and has passed the Series 63, Series 99TO, Series 3, SIE, Series 57, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Caruso III'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

May 6, 2025 - Present

MOOMOO FINANCIAL INC.

Office #1: 185 Hudson St 5 Harborside, Suite 2603, Jersey City, NJ 07311

CRD#: 283078

JERSEY CITY, NJ

Current

August 8, 2025 - Present

FUTU CLEARING INC

Office #1: 12750 Merit Drive Suite 475, Dallas, TX 75251

CRD#: 298769

Dallas, TX

Past

February 24, 2023 - May 7, 2025

MORGAN STANLEY

CRD#: 149777

Jersey City, NJ

Past

September 1, 2017 - June 3, 2024

E*TRADE SECURITIES LLC

CRD#: 29106

Jersey City, NJ

State Registrations and Notice Filings

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

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

New Jersey
(5/6/2025)

Texas
(8/8/2025)

Exams

State Security Law Exam

Series 63

Date: 10/6/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 3

Date: 7/21/2022

National Commodity Futures Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 57

Date: 4/13/2018

Securities Trader Exam

General Industry/Product Exam

Series 7

Date: 9/1/2017

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/19/2023

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FUTU CLEARING INC

CRD#: 298769 / SEC#: , 8-70215

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

12750 Merit Drive Suite 475, Dallas, TX 75251

Mailing Address

12750 Merit Drive Suite 475, Dallas, TX 75251

Phone number

(972) 665-6903

Established

Delaware since 08/13/2018

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FUTU US INC	OWNER
DU, SHUANG	HEAD OF US OPERATIONS	5005050
KELLY, PATRICK JAMES	CHIEF EXECUTIVE OFFICER	3126322
SHARMA, VICKRAMJIT	CHIEF LEGAL OFFICER	7186502
SHEN, QIUFANG	HEAD OF FINANCE	3158926
STIFELMAN, GLEN ROBERT	CHIEF COMPLIANCE OFFICER	1699013

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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Firm Stability Insights

John Caruso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

FUTU CLEARING INC

MORGAN STANLEY

E*TRADE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/6/2017

Series 99TO

Date: 1/2/2023

Series 3

Date: 7/21/2022

SIE

Date: 10/1/2018

Series 57

Date: 4/13/2018

Series 7

Date: 9/1/2017

Series 24

Date: 10/19/2023

FINRA

Current Firm

FUTU CLEARING INC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FUTU CLEARING INC

TRUST BUT VERIFY

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