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18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-10-29 |
| FL | RA | APPROVED | 2023-06-21 |
| NY | RA | APPROVED | 2021-04-26 |
Branch Locations
Lomond Place Office Park 130 Lomond Court, Utica, NY 13502 • United States
130 Lomond Ct, Utica, NY 13502 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-03-26 |
Branch Locations
130 Lomond Ct, Utica, NY 13502 • United States
130 Lomond Court, Utica, NY 13502 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-02 |
Branch Locations
130 Lomond Court, Utica, NY 13502 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Osaic Wealth, Inc. | Utica | NY | 03/1996 | Present |
| Caruso Mclean & Co., Inc. | Utica | NY | 03/1996 | Present |
| Empire Retirement Plans, Llc | Utica | NY | 01/2025 | Present |
1. CARUSO MCLEAN & CO., INC., 130 Lomond Court, UTICA, NY, REGISTERED INVESTMENT ADVISORS, INVESTMENT ADVISOR, 3/99, 20 HOURS/WK. 2. CARUSO MCLEAN, INVESTMENT RELATED, 130 Lomond Court UTICA, NY 13502, STATUTORY AGENT, 1997, 10HR/MO, 1HR DT, FIXED AND VARIABLE ANNUITIES, LIFE INSURANCE. 3. EMPIRE RETIREMENT PLANS POSITION: Retirement Plan Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 40 START DATE: 04/01/2025 ADDRESS: 130 Lomond Court, Utica NY 13502, United States DESCRIPTION: Provide investment advisory services for retirement plans under an independent RIA.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-12 |
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