Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Victor? Claim Your ProfileVictor Caruso is a financial professional with over 15 years of experience in the financial services industry. Victor has worked for a number of prominent firms, including Houlihan Lokey Howard & Zukin Capital, Inc. and Thomas Weisel Partners LLC, before joining Kroll Securities LLC in 2019. Victor is a Series 7, Series 63, and Series 79TO licensed representative, and is registered in multiple states. He is dedicated to providing his clients with personalized financial advice and guidance.
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.
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2
NY
04/20/2019 - Present
Kroll Securities LLC (NEW YORK NY)
CA
06/08/2004 - 07/18/2007
HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, INC. (LOS ANGELES CA)
CA
06/27/2003 - 05/18/2004
RELATIONAL ADVISORS LLC (SAN DIEGO CA)
CA
03/29/2000 - 05/08/2003
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
NY
11/19/1999 - 03/28/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 08/02/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/19/2019
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 02/26/2019
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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