Gaetano A. Perrone
Professional summary
Gaetano A Perrone, who also goes by Gaetano Perrone, Guy A Perrone, Guy Perrone, is a registered financial professional currently at CARTY, HARDING & HEARN, INC. located in Roswell, New Mexico.
Gaetano is registered as a RR (Registered Representative) and started their career in finance in 1976. Gaetano has worked at 15 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gaetano A Perrone's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 15, 2016 - Present
CARTY, HARDING & HEARN, INC.
Office #2: 6263 Poplar Avenue Suite 800, Memphis, TN 38119March 24, 2010 - June 14, 2016
LAWSON FINANCIAL CORPORATION
October 11, 2007 - March 24, 2010
LPL FINANCIAL LLC
February 22, 2005 - October 9, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
January 23, 2002 - February 3, 2005
RBC CAPITAL MARKETS, LLC
February 25, 1993 - February 1, 2002
SUTRO & CO. INCORPORATED
September 4, 1990 - January 5, 1993
WELLS FARGO CLEARING SERVICES, LLC
October 7, 1988 - September 4, 1990
BOETTCHER & COMPANY, INC.
March 29, 1988 - August 23, 1988
YOUNG, SMITH & PEACOCK, INC.
February 15, 1988 - April 27, 1988
LEHMAN BROTHERS INC.
April 4, 1985 - February 15, 1988
E. F. HUTTON & COMPANY INC
July 12, 1983 - April 15, 1985
BLINDER, ROBINSON & CO., INC.
July 29, 1980 - April 3, 1985
E. F. HUTTON & COMPANY INC
February 23, 1979 - July 30, 1980
MOSELEY SECURITIES CORPORATION
February 8, 1977 - February 23, 1979
MOSELEY, HALLGARTEN & ESTABROOK INC
March 2, 1976 - March 14, 1977
BURGESS & LEITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/15/2016)
(9/2/2025)
(6/15/2016)
(8/5/2022)
(12/20/2018)
(6/15/2016)
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(6/15/2016)
(6/30/2022)
(6/15/2016)
(2/21/2023)
(6/15/2016)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
CARTY, HARDING & HEARN, INC.
CRD#: 7001 / SEC#: , 8-19082
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 19 |
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