Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Caruso is an active Registered Representative and Investment Adviser Representative. Steven Caruso is currently employed by Hornor, Townsend & Kent, LLC in Conshohocken, PA and Macedon, NY. Steven Caruso has worked in the financial industry since 1998. Steven Caruso has been registered with the Securities and Exchange Commission since 2012 and has held previous registrations with several firms including Wall Street Financial Group, Inc., Ameriprise Financial Services, Inc., Mark Stewart Securities, Inc., William O'Neil & Company, Incorporated, Concord Brokerage Services, Inc., National Discount Brokers, Kennedy, Cabot & Co., Dean Witter Reynolds Inc. and Smith Barney Inc. Steven Caruso holds the Series 4, 7, 24, 31, 52TO, 53, 55, 57TO, 63, and 65 licenses and has a broad range of experience in financial services including financial planning, portfolio management for individuals and businesses, pension consulting, and selection of other advisors.
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.
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.
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.
Trail commissions, distribution assistance fees
1
2
PA
04/20/2022 - Present
Hornor, Townsend & Kent, LLC (Conshohocken PA)
NY
06/07/2012 - 12/10/2012
WALL STREET FINANCIAL GROUP, INC. (VICTOR NY)
NY
04/23/2007 - 01/13/2011
AMERIPRISE FINANCIAL SERVICES, INC. (ROCHESTER NY)
CA
02/08/2005 - 05/09/2007
MARK STEWART SECURITIES, INC. (LAKE FOREST CA)
MA
06/07/2001 - 05/05/2003
WILLIAM O'NEIL & COMPANY, INCORPORATED (BOSTON MA)
NY
01/27/2000 - 11/13/2000
WALL STREET FINANCIAL GROUP, INC. (VICTOR NY)
MA
09/02/1997 - 01/31/2000
CONCORD BROKERAGE SERVICES, INC. (BOSTON MA)
NE
08/31/1995 - 07/23/1997
NATIONAL DISCOUNT BROKERS (OMAHA NE)
CA
04/26/1995 - 06/13/1995
KENNEDY, CABOT & CO. (BEVERLY HILLS CA)
NY
08/15/1994 - 03/03/1995
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
05/06/1994 - 07/25/1994
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 10/29/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/17/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/01/2023
Series 4 - Registered Options Principal Examination
BC
Issued 09/16/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/15/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/05/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 05/05/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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