Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
CARL MICHAEL IPPOLITO
CARL IPPOLITO
CRD#: 4773246
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200620082010201220142016201820202022IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2018 - 2020 (2 years)IAPENN INVESTMENT ADVISORS, INC. (CRD# 151715)2015 - 2017 (2 years)IAAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2009 - 2013 (4 years)IAAMERIPRISE ADVISOR SERVICES, INC. (CRD# 5979)2005 - 2009 (4 years)
Disclosure(s)
View By:
1/11/2022
Regulatory
Final
10/23/2020
Employment Separation After Allegations
3/17/2017
Judgment / Lien
2/12/2015
Judgment / Lien
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/21/2018 - 11/17/2020 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) EAST BRUNSWICK, NJ
IA
 07/10/2015 - 09/12/2017 PENN INVESTMENT ADVISORS, INC. (CRD#:151715) EWING, NJ
IA
 10/05/2009 - 11/07/2013 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) LAWRENCEVILLE, NJ
IA
 02/16/2005 - 10/05/2009 AMERIPRISE ADVISOR SERVICES, INC. (CRD#:5979) MOUNT HOLLY, NJ
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.