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John Arthur Caroli

Bcs Private Wealth Management

Rumson, NJ

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Current Employers
Bcs Private Wealth Management

47 West River Road Suite B, Rumson, NJ 07760 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2015-04-17
  • NJ RA
    APPROVED
    Since 2015-04-17

Branch Locations

47 West River Road Suite B, Rumson, NJ 07760 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Western International Securities Atlantic Highlands NJ 06/2009 Present
Bernard Caroli Wealth Management, Inc Atlantic Highlands NJ 06/2009 Present
Bcs Private Wealth Management Atlantic Highlands NJ 04/2015 Present
  • 06/2009 → Present
    Western International Securities
    Atlantic Highlands, NJ
  • 06/2009 → Present
    Bernard Caroli Wealth Management, Inc
    Atlantic Highlands, NJ
  • 04/2015 → Present
    Bcs Private Wealth Management
    Atlantic Highlands, NJ
Previous Registrations
  • 2009-06-12 → 2015-09-02
    Western International Securities, Inc.
    Atlantic Highlands, NJ
    Pasadena, CA
    Atlantic Highlands, NJ
  • 2009-06-12 → 2009-07-02
    Ubs Financial Services Inc.
    New York, NY
    New York, NY
Other Businesses

12/2012-PRESENT;NIR;LIFE INSURANCE; 20/20/HRS/MO; 726 KINGS HIGHWAY EAST, ATLANTIC HIGHLANDS, NJ;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-06-04
S63 Uniform Securities Agent State Law Examination 1997-06-26
  • S65 Uniform Investment Adviser Law Examination
    1998-06-04
  • S63 Uniform Securities Agent State Law Examination
    1997-06-26
Designations

View on SEC IAPD

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