Unclaimed Profile

Stephen Louis Caruso

CARUSO MCLEAN & CO., INC.·UTICA, New York

SIE, Series 7, Series 24, Series 63, Series 66Clean record15 years registeredCARUSO MCLEAN & CO., INC.

130 LOMOND COURT, UTICA, NY 13502CRD# 2729658Firm CRD# 126084

Profile Verification

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

Identity

Stephen Louis Caruso · UTICA, NY

Registration

CRD #2729658 · CARUSO MCLEAN & CO., INC. · 15 years registered

Brand Profile

Not yet started

Career History

EMPIRE RETIREMENT PLANS, LLC

Mar 2025 – present

OSAIC WEALTH, INC.

Apr 2021 – present

CARUSO MCLEAN & CO., INC.

Mar 2011 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Series 66

Registration record

First registered · March 3, 2011

Years registered · 15

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CARUSO MCLEAN & CO., INC.

CRD 126084 · SEC 801-64498

AUM

$233M

Regulatory assets under management

Employees

196 client accounts

Services offered by CARUSO MCLEAN & CO., INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at CARUSO MCLEAN & CO., INC. →

Introduction

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Frequently Asked Questions

What services does Stephen Louis Caruso offer?

Stephen Louis Caruso specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in UTICA, New York for a consultation.

What are Stephen Louis Caruso's credentials?

Stephen Louis Caruso is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Stephen Louis Caruso located?

Stephen Louis Caruso is based in UTICA, New York, working with CARUSO MCLEAN & CO., INC.. Their office serves clients in the UTICA metropolitan area and surrounding communities.

How does Stephen Louis Caruso charge for services?

Stephen Louis Caruso's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CARUSO MCLEAN & CO., INC.?

CARUSO MCLEAN & CO., INC. has approximately 6 employees and manages $233M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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