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5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-03-06 |
| VA | RA | APPROVED | 2023-03-02 |
Branch Locations
1660 International Dr Suite 600, Mclean, VA 22102 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Vienna | VA | 01/2015 | 12/2022 |
| Prospera Financial Services | Dallas | TX | 01/2023 | Present |
Mr. Caruso is President/Owner of Puglia LLC, located at 6139 Ramshorn Dr., McLean VA 22101 this business is not investment related. Spending 1-9% of his time none during market hours. Compensation is 1-9% of his annual income. TVC Wealth Management LLC; Investment Related - Yes; 1660 International Dr., Mclean, VA 22102; DBA; President; Financial Advisor/Wealth Manager; 02/2023; 160 Hours Per Month; 160 During Trading Month; Providing financial planning and investment-related services. Trustee; Investment Related - Yes; 1660 International Drive Mclean VA 22101; Financial Advisor; Trustee; 07/2026; 2 Hours Per Month; 2 During Trading Hours; As trustee will have authority to invest funds and distribute funds as needed. Always learning about Isabella's progress/situation.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-12-04 |
| S63 | Uniform Securities Agent State Law Examination | 1983-12-03 |
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