Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Caruso is a financial professional with over 20 years of experience in the financial services industry. Stephen has worked for several prominent firms, including Ameriprise Financial Services, Inc. and Wachovia Securities, LLC. Stephen is currently registered with Brookwood Investment Group, a firm that offers a variety of financial services including financial planning, pension consulting, and portfolio management. Stephen is also licensed as an insurance producer. Stephen has a strong background in serving high-net-worth individuals, charitable organizations, pension and profit-sharing plans, and corporations or other businesses.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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AZ
01/01/2025 - Present
Brookwood Investment Group (PHOENIX AZ)
NY
02/03/2012 - 06/06/2016
AMERIPRISE FINANCIAL SERVICES, INC. (NEW YORK NY)
NY
09/11/2009 - 02/17/2012
ALLSTATE FINANCIAL SERVICES, LLC (NEW YORK NY)
FL
09/22/2008 - 07/06/2009
POINTE CAPITAL, INC. (TAMPA FL)
NY
02/18/2005 - 09/19/2008
WACHOVIA SECURITIES, LLC (NEW YORK NY)
NY
10/27/1999 - 03/03/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
IA
Issued 01/18/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/15/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/06/2016
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/1999
Series 7 - General Securities Representative Examination
Active
Inactive
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