Carl T. Box
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 Thomas Box, who also goes by Thom Box, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1981. Carl had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2012 - November 8, 2022
INTERVEST INTERNATIONAL, INC.
March 6, 2008 - November 8, 2022
INTERVEST INTERNATIONAL EQUITIES CORPORATION
November 9, 1993 - September 5, 2007
INTEGRATED FINANCIAL PLANNING SERVICES
July 20, 1990 - October 29, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 20, 1990 - October 29, 1992
PRUCO SECURITIES, LLC.
April 30, 1990 - July 5, 1990
NALICO EQUITY CORPORATION
August 10, 1984 - December 19, 1986
MUTUAL SERVICE CORPORATION
May 18, 1981 - August 13, 1982
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
May 18, 1981 - August 13, 1982
MONY SECURITIES CORPORATION
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
INTERVEST INTERNATIONAL, INC.
CRD#: 111516 / SEC#: 801-66615
Contact information
Regulatory assets under management
| Total Number of Accounts | 356 |
| AUM (Assets Under Management) | $ 39,933,048 |
Red Flags
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