Carl GottusoCRD Number: 1015679
Current Firm: Crown Capital Securities, LP
Carl Gottuso (CRD# 1015679) is an Investment Advisor Representative working at Crown Capital Securities, LP in Eastvale, CA and has over 25 years of experience in the finance industry.
Ubs Financial Services Inc.
Eclectic Associates, Inc.
|Crown Capital Securities, LP||Orange, CA||Jul 2011 - Current||6|
|Carl V. Gottuso||Corona, CA||Mar 2002 - Current||16|
|Financial Distributors, Inc.||Madison, WI||May 1997 - Current||20|
|Independent Financial Group||San Diego, CA||Mar 2008 - Jul 2011||3|
|Securities America Advisors, Inc.||Corona Del Mar, CA||Mar 2002 - Mar 2008||6|
|Securities America, Inc.||Corona Del Mar, CA||Feb 1995 - Mar 2008||13|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1992|
|S66||NASAA Uniform Combined State Law Examination||Jan 2002|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
- Customer Dispute
Total Assets Under Management745MILLIONS
Total Number of Accounts3,187ACCOUNTS
Average Account Value$233,877
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
AL, AZ, CA, CO, CT, FL, GA, HI, IA, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, NC, ND, NE, NJ, NM, NV, NY, OH, OK, PA, SC, TN, TX, WA, WI
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