Carmen G. Cipolloni

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CRD#: 6974839

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.

Carmen Gene Cipolloni, who also goes by Carmen Geno Cipolloni, Geno Cipolloni, was a registered financial professional .

Carmen is a previously registered financial professional and started their career in finance in 2019. Carmen had worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carmen Geno Cipolloni | Geno Cipolloni

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.

Independent insurance agent; inv rel; fixed insurance; Agent; start date=05/2021; hrs/mo=80; trading hrs/mo=40; sales and servicing of insurance products

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 26, 2022 - February 23, 2023

LUMIERE FINANCIAL

RIA

CRD#: 319171

NEW YORK, NY

Past

November 1, 2021 - June 9, 2022

AMERITAS ADVISORY SERVICES, LLC

RIA

CRD#: 317245

NEW YORK, NY

Past

August 2, 2021 - November 1, 2021

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

New York, NY

Past

August 2, 2021 - June 2, 2022

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

New York, NY

Past

September 27, 2019 - July 8, 2021

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

NEW YORK, NY

Past

August 27, 2019 - July 8, 2021

PRUCO SECURITIES, LLC.

CRD#: 5685

NEW YORK, NY

Past

March 28, 2019 - September 4, 2019

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

NEW YORK, NY

Past

February 1, 2019 - September 4, 2019

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LUMIERE FINANCIAL

LUMIERE FINANCIAL | LUMIERE FINANCIAL GROUP LLC | LUMIERE FINANCIAL GROUP

CRD#: 319171 / SEC#: 801-123638

RIA

Registered Investment Advisory firm - (4/6/2022 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/12/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/1/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/4/2019

Securities Industry Essentials Examination

Current Firm

LUMIERE FINANCIAL

LUMIERE FINANCIAL | LUMIERE FINANCIAL GROUP LLC | LUMIERE FINANCIAL GROUP

CRD#: 319171 / SEC#: 801-123638

RIA

Registered Investment Advisory firm - (4/6/2022 Approved)

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Contact information

Main Address

675 Third Avenue Suite 920, New York, NY 10017

Mailing Address

Phone number

(212) 516-5900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LUMIERE FINANCIAL GROUP LLC (10/29/2025)

Regulatory assets under management

Total Number of Accounts	246
AUM (Assets Under Management)	$ 59,927,014

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

Carmen G. Cipolloni

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERITAS ADVISORY SERVICES, LLC

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

LUMIERE FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 3/12/2019

Series 7TO

Date: 2/1/2019

SIE

Date: 1/4/2019

Current Firm

LUMIERE FINANCIAL

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LUMIERE FINANCIAL

TRUST BUT VERIFY

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