Individual Firm
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PAUL JOSEPH CARICO
CRD#: 3272201
IA
B
LPL FINANCIAL LLCCRD#: 6413 SARASOTA, FL
0
Disclosures
25
Years of Experience
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State Registrations
B
Alabama 8/2/2023
B
North Carolina 12/18/2020
B
Florida 12/18/2020
B
Pennsylvania 6/22/2021
IA
Florida 12/21/2020
B
South Carolina 12/18/2020
B
Indiana 12/18/2020
B
Tennessee 1/13/2023
B
Maine 12/18/2020
B
Texas 12/18/2020
B
Maryland 6/26/2023
IA
Texas 12/18/2020
B
Michigan 12/18/2020
B
Virginia 12/18/2020
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/25/2017 - 12/21/2020 | SARASOTA, FL | |
B | 03/25/2017 - 12/21/2020 | SARASOTA, FL | |
IA | 01/22/2016 - 03/25/2017 | SARASOTA, FL | |
B | 01/22/2016 - 03/25/2017 | SARASOTA, FL | |
IA | 02/21/2003 - 02/02/2016 | SARASOTA, FL | |
B | 02/14/2003 - 02/02/2016 | SARASOTA, FL | |
B | 05/23/2002 - 02/25/2003 | SAN JUAN CAPISTRANO, CA | |
B | 08/20/1999 - 05/22/2002 | PURCHASE, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.