Byron W. Cartozian
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.
Byron Wallace Cartozian was a registered financial advisor .
Byron is a previously registered financial advisor and started their career in finance in 1976. Byron had worked at 14 firms and has passed the Series 63, Series 65, Series 7, Series 55, Series 15, Series 8 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
September 14, 2009 - December 31, 2010
FULCRUM ADVISORY SERVICES, LLC
August 28, 2009 - December 31, 2010
FULCRUM SECURITIES, LLC
April 12, 2004 - July 28, 2004
DOMESTIC SECURITIES, INC.
October 12, 2000 - April 17, 2001
J.P. MORGAN SECURITIES LLC
October 12, 2000 - October 23, 2002
INSTITUTIONAL DIRECT INC.
January 18, 1991 - July 29, 1999
CREDIT SUISSE SECURITIES (USA) LLC
March 9, 1989 - July 25, 1990
LYNCH, JONES & RYAN LLC
January 12, 1987 - September 28, 1987
LEXINGTON FUNDS DISTRIBUTOR, INC.
August 22, 1986 - November 10, 1986
TURCAN FINANCIAL GROUP, INC.
November 12, 1984 - August 26, 1986
LEGEND CAPITAL CORPORATION
November 30, 1979 - February 22, 1984
PRUDENTIAL EQUITY GROUP, LLC
December 14, 1977 - December 12, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 16, 1977 - November 17, 1977
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
April 14, 1976 - August 27, 1976
BACHE & CO 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
Exams
Series 55
Date: 4/23/2004
Limited Representative-Equity Trader ExamSeries 15
Date: 3/7/1983
Foreign Currency Options ExaminationSeries 8
Date: 8/9/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FULCRUM ADVISORY SERVICES, LLC
CRD#: 131777 / SEC#: 801-65303
Contact information
Red Flags
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