ANDREW NICHOLAS CARAVELLA is currently employed as a Broker and/or Investment Adviser at C. L. KING & ASSOCIATES, INC. located at NINE ELK STREET, ALBANY, NY, 12207.
ANDREW NICHOLAS CARAVELLA has worked at C. L. KING & ASSOCIATES, INC. since May 20, 2013
Disclosure History
ANDREW NICHOLAS CARAVELLA has 1 Disclosure Event(s).
Date: December 09, 2003 Category: Regulatory Initiated By: STATE OF NEW YORK INSURANCE DEPARTMENT Allegations: SUBMITTED NEW YORK STATE LICENSING APPLICATION ON WHICH A NEGATIVE ANSWER WAS GIVEN TO QUESTION 8(B). THIS ASKED HAVE YOU, OR A PARTNERSHIP OF WHICH YOU ARE OR WERE, A MEMBER,OR A CORPORATION OF WHICH YOU ARE, OR WERE, AN OFFICER OR DIRECTOR,DURING YOUR CONNECTION THEREWITH, BEEN INSOLVENT OR ADJUDGED A BANKRUPT. A REVIEW OF THE BANKRUPTCY FILING THAT I SUBMITTED INDICATED THAT IT WAS DISCHARGED ON MARCH 10, 1997. Resolution: Stipulation and Consent SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $500.00 Sanction Details: FINE OF $500 WAS PAID WITH OFFICIAL BANK CHECK DATED 3/26/2004 AND RETURNED WITH SIGNED STIPULATION LETTER.
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