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Detailed Report
James Michael Caruso
CRD#: 4241143
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 3668 S GEYER RD SUITE 200
SAINT LOUIS, MO 63127
Registration History
20002002200420062008201020122014201620182020202220242026IAEDWARD JONES (CRD# 250)2019 - Present (6 years)BEDWARD JONES (CRD# 250)2000 - Present (24 years)
License(s)

State Registrations

B
Arizona 6/28/2011
B
New Jersey 10/5/2021
B
Arkansas 3/3/2020
B
New York 1/2/2013
B
California 1/27/2010
B
North Carolina 1/16/2015
B
Colorado 11/1/2012
B
Ohio 1/25/2010
B
Florida 11/18/2003
B
Oklahoma 12/16/2022
B
Illinois 1/12/2002
B
Pennsylvania 12/23/2024
B
Indiana 3/12/2018
B
Texas 7/23/2007
B
Iowa 7/17/2008
IA
Texas 2/14/2019
B
Kansas 11/5/2003
B
Virginia 7/17/2023
B
Missouri 10/16/2000
B
Washington 11/15/2016
IA
Missouri 7/25/2024
B
Wisconsin 3/30/2021

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EDWARD JONES (CRD#:250)
3668 S GEYER RD SUITE 200, SAINT LOUIS, MO 63127
Registered with this firm since 2/14/2019
B
EDWARD JONES (CRD#:250)
3668 S GEYER RD SUITE 200, SAINT LOUIS, MO 63127
Registered with this firm since 9/26/2000
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.