Carlo G. Azzi
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.
Carlo Giovanni Araldo Azzi, who also goes by Azzi Carlo, was a registered financial professional .
Carlo is a previously registered financial professional and started their career in finance in 2017. Carlo had worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2020 - June 13, 2022
EUROPEAN FAMILY OFFICE INSTITUTE LLC.
October 17, 2017 - January 29, 2018
SMITH CAPITAL MARKETS, LLC.
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
EUROPEAN FAMILY OFFICE INSTITUTE LLC.
CRD#: 285357 / SEC#: , 8-69871
Contact information
FINRA licenses (1 States and Territories)
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Florida | ERA - Withdrawn | 1/23/2017 |
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.
