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Anthony Caruso

Caruso Family Financial Advisors (cffa) LLC

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About Anthony Caruso

Anthony Caruso is a financial advisor with over 10 years of experience in the industry. Anthony Caruso is currently registered with Caruso Family Financial Advisors (CFFA) LLC and has been with the firm since 2019. Previously, Anthony Caruso was registered with Whitehall-Parker Securities, Inc. Anthony Caruso is a Series 7, 66 and SIE licensed professional. Anthony Caruso specializes in providing financial planning and portfolio management services to individuals and families.

Firm Information

Anthony Caruso is currently registered with Caruso Family Financial Advisors (cffa) LLC. Caruso Family Financial Advisors (cffa) LLC is an investment advisory firm with 2 investment adviser representatives. They manage approximately $11,695,066 in discretionary assets for 82 clients. Their services include portfolio management for individuals and pension consulting. Their client base includes high-net-worth individuals and individuals other than high-net-worth.

$11.70M

Assets Under Management

Not reported

Total Clients

2

Total Financial Advisors

Services Offered

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.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Anthony Caruso’s Registration & Firm History

CA

01/14/2020 - Present

Caruso Family Financial Advisors (cffa) LLC (San Jose CA)

CA

01/07/2019 - 03/04/2020

WHITEHALL-PARKER SECURITIES, INC. (SAN RAFAEL CA)

CA

11/02/2016 - 12/23/2016

PURSHE KAPLAN STERLING INVESTMENTS (Fremont CA)

CA

07/02/2012 - 09/06/2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN JOSE CA)

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Licenses & Designations

BOTH

Issued 08/10/2012

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 12/23/2016

SIE - Securities Industry Essentials Examination

BC

Issued 06/29/2012

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Anthony Caruso. Review regulatory record here.
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