Carl Cornaglia, financial advisor Wallingford CT
71 score

Carl Cornaglia

CRD Number: 3067666
Current Firm: Sii Investments, Inc.

Carl Cornaglia (CRD# 3067666) is an Investment Advisor Representative working at Sii Investments, Inc. in Wallingford, CT and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Sii Investments, Inc. Wallingford, CT Jun 2009 - Current 7
Questar Capital Corporation Minneapolis, MN Dec 2006 - Jun 2009 2
Questar Asset Management Minneapolis, MN Jul 2006 - Jun 2009 2
Usallianz Securities Inc. Minneapolis, MN Aug 2004 - Nov 2006 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1998
S65 NASAA Investment Advisors Law Examination Jul 2000
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Carl D. Cornaglia
Phone Number: 800-426-5975
Firm Website: http://www.siionline.com
Registered State(s):
  • CT
  • NH
  • PA
  • SC
  • NC
By the Numbers
  • Total Assets Under Management
    4,226
    MILLIONS
  • Total Number of Accounts
    30,484
    ACCOUNTS
  • Average Account Value
    $138,626
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
71

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