Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ann? Claim Your ProfileAnn Caruso is a financial advisor with over 20 years of experience in the industry. Ann has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2010. Ann has a wide range of experience in the industry, having worked at several firms, including Deutsche Bank Securities Inc., Lehman Brothers Inc., and BT Alex. Brown Incorporated. Ann is licensed to sell securities in several states, including New Jersey, Texas, and California. Ann also holds several industry certifications, including the Series 7, Series 63, Series 66, and Series 24 exams.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
05/01/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SHORT HILLS NJ)
NY
11/11/2004 - 09/06/2005
QUADRISERV SECURITIES, INC. (NEW YORK NY)
CA
11/16/2001 - 10/30/2002
METROPOLITAN WEST SECURITIES, LLC (LOS ANGELES CA)
NY
06/07/1999 - 07/16/1999
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MD
08/02/1995 - 06/07/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NY
11/22/1989 - 05/03/1995
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 10/29/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/22/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/05/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/2010
Series 7 - General Securities Representative Examination
BC
Issued 12/15/1989
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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