Unclaimed Profile

John Arthur Caroli

BERNARD CAROLI WEALTH MANAGEMENT INC.·RUMSON, New Jersey

SIE, Series 3, Series 7, Series 63, Series 65CFPClean record17 years registeredBERNARD CAROLI WEALTH MANAGEMENT INC.

47 WEST RIVER ROAD, RUMSON, NJ 07760CRD# 2756888Firm CRD# 174761

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

John Arthur Caroli · RUMSON, NJ

Registration

CRD #2756888 · BERNARD CAROLI WEALTH MANAGEMENT INC. · 17 years registered

Brand Profile

Not yet started

Career History

BCS PRIVATE WEALTH MANAGEMENT

Apr 2015 – present

UBS FINANCIAL SERVICES INC.

Jun 2009 – Jul 2009

NEW YORK, NY

WESTERN INTERNATIONAL SECURITIES

Jun 2009 – Sep 2015

ATLANTIC HIGHLANDS, NJ

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 63

Series 65

Registration record

First registered · June 12, 2009

Years registered · 17

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

BERNARD CAROLI WEALTH MANAGEMENT INC.

CRD 174761 · SEC 801-89173

AUM

$340M

Regulatory assets under management

Employees

509 client accounts

Services offered by BERNARD CAROLI WEALTH MANAGEMENT INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at BERNARD CAROLI WEALTH MANAGEMENT INC. →

Introduction

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Frequently Asked Questions

What services does John Arthur Caroli offer?

John Arthur Caroli specializes in Financial Planning, Investment Management. Contact their office in RUMSON, New Jersey for a consultation.

What are John Arthur Caroli's credentials?

John Arthur Caroli holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is John Arthur Caroli located?

John Arthur Caroli is based in RUMSON, New Jersey, working with BERNARD CAROLI WEALTH MANAGEMENT INC.. Their office serves clients in the RUMSON metropolitan area and surrounding communities.

How does John Arthur Caroli charge for services?

John Arthur Caroli's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is BERNARD CAROLI WEALTH MANAGEMENT INC.?

BERNARD CAROLI WEALTH MANAGEMENT INC. has approximately 6 employees and manages $340M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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