Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher A. Caruso is a financial professional with over 7 years of experience in the securities industry. Christopher Caruso is currently registered with BMO Capital Markets Corp. in New York. Christopher Caruso has previously been employed by BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc., both in New York. Christopher A. Caruso holds Series 63, Series 24, Series 7, and SIE licenses. Christopher Caruso is registered in 53 states and the District of Columbia. Christopher Caruso has experience providing securities trading ideas and research. Christopher Caruso is also experienced in portfolio management for pooled investment vehicles.
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.
Provision of securities trading ideas and research
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.
A percentage of the total value of assets under management is charged.
Fees for securities trading ideas and research
1
2
NY
01/12/2022 - Present
BMO Capital Markets Corp. (New York NY)
NY
03/14/2018 - 11/10/2021
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
02/09/2015 - 07/19/2018
BNP PARIBAS PRIME BROKERAGE, INC. (NEW YORK NY)
NY
02/09/2015 - 10/25/2016
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
BC
Issued 02/25/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/24/2020
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/09/2015
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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