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Michael Lawrence Caruso

Raymond James & Associates, Inc.

Rochester, NY

CRD 7273878

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Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-02-02
NY RA APPROVED 2021-06-14
  • TX RA
    APPROVED_RES
    Since 2024-02-02
  • NY RA
    APPROVED
    Since 2021-06-14

Branch Locations

100 Meridian Centre Suite 315, Rochester, NY 14618 • 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
L3Harris Technologies Rochester NY 10/2016 06/2020
First American Equipment Finance Pittsford NY 12/2015 09/2016
Raymond James And Associates Rochester NY 07/2020 12/2020
Raymond James And Associates Rochester NY 12/2020 Present
  • 10/2016 → 06/2020
    L3Harris Technologies
    Rochester, NY
  • 12/2015 → 09/2016
    First American Equipment Finance
    Pittsford, NY
  • 07/2020 → 12/2020
    Raymond James And Associates
    Rochester, NY
  • 12/2020 → Present
    Raymond James And Associates
    Rochester, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-12-07
  • S66 Uniform Combined State Law Examination
    2020-12-07
Other Names
  • Michael Caruso

View on SEC IAPD

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Nearby Investors

THERESA CLARE KENYON
JAMES HAROLD HARMAN
GEORGIANN VALLEE COLLINS

Nearby Offices

MORGAN STANLEY · Rochester, NY
COMMONWEALTH FINANCIAL NETWORK · ROCHESTER, NY
NOVEM GROUP · ROCHESTER, NY

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