Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregg? Claim Your ProfileGregg Caruso has been in the securities industry for over 30 years. Gregg is currently registered with Cantor Fitzgerald & Co. Gregg has held previous roles with B. RILEY SECURITIES, INC., LAZARD CAPITAL MARKETS LLC, JEFFERIES & COMPANY, INC., and FLEET SECURITIES, INC. Gregg holds the Series 7, Series 24, Series 63, Series 99TO, and SIE licenses. Gregg is a licensed General Securities Principal.
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.
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.
1
2
NJ
06/11/2024 - Present
Cantor Fitzgerald & Co. (ISELIN NJ)
NY
08/05/2014 - 06/20/2024
B. RILEY SECURITIES, INC. (NEW YORK NY)
NY
04/19/2012 - 08/07/2014
LAZARD CAPITAL MARKETS LLC (NEW YORK NY)
NY
04/19/2004 - 04/16/2012
JEFFERIES & COMPANY, INC. (NEW YORK NY)
TX
11/10/1992 - 04/08/2004
FLEET SECURITIES, INC. (DALLAS TX)
BC
Issued 08/07/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2019
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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