Stephen Caruso
Stephen Caruso is a registered investment advisor at Empire Retirement Plans, LLC, based in Utica, NY, with 29 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Retirement Planning.
Compensation
Firm Size
IM Fee
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
Lomond Place Office Park, 130 Lomond Court, Utica, NY, 13502
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Stephen works as an investment advisor for Caruso McLean & Co., Inc., dedicating about half his time. He is also a statutory agent for Caruso McLean, selling fixed and variable annuities and life insurance, and spends about a quarter of his time as a retirement plan advisor for Empire Retirement Plans.
Employment History
Current Registrations
Empire Retirement Plans, LLC
Osaic Wealth, INC.
Caruso Mclean & CO., INC.
Osaic Wealth, INC.Broker
State Registrations37 states
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