# Salvatore Caruso

> Salvatore Charles Caruso is a Certified Financial Planner and president and CEO of TSG Alpha Partners, the private wealth advisory firm within TSG Invest. He founded StratVest Financial Management in 1996, co-founded the brokerage later known as Legend Securities in 1998, and has led Quantum Advisory Group since 2017. His professional history includes a settled 2011 SEC recordkeeping proceeding. An August 2026 SEC complaint names TSG Alpha Partners and Spaventa entities; Caruso is not a named defendant.

- **Role:** President & CEO at TSG Alpha Partners
- **Organizations:** TSG Alpha Partners, TSG Invest, Quantum Advisory Group, Legend Securities, StratVest Financial Management
- **Known for:** Founded StratVest Financial Management in 1996., Co-founded the brokerage later named Legend Securities in 1998., Earned the Certified Financial Planner designation by 1997.

## Career timeline

- **1993** — Passed the Series 63 and Series 6 examinations; registered with Independent Financial Securities.
- **1996** — Founded StratVest Financial Management.
- **1997** — Held the Certified Financial Planner designation by this year, according to a 2002 corporate filing.
- **1998** — Co-founded the broker-dealer later known as Legend Securities and served as president.
- **2002** — Identified as the executive in charge of financial planning at Legend Securities.
- **2011** — Settled SEC administrative proceedings with Legend Securities concerning backdated personnel records; censured and ordered to pay a $25,000 civil penalty without admitting or denying the findings.
- **2017** — Began serving as president and investment adviser representative at Quantum Advisory Group.
- **2022** — Began employment as president and CEO of TSG Alpha Partners in January; New York investment adviser representative registration with the firm approved August 30.

## Achievements

- Founded StratVest Financial Management in 1996.
- Co-founded the brokerage later named Legend Securities in 1998.
- Earned the Certified Financial Planner designation by 1997.

## Latest updates

- **2026-08** — The SEC filed a civil complaint against Andrew Spaventa, The Spaventa Group, TSG Capital Advisors, and TSG Alpha Partners on August 14. The complaint alleges fraud and other violations in private fund offerings. Caruso is not named as a defendant.

## Links

- Website: https://tsginvest.com
- LinkedIn: https://www.linkedin.com/in/salvatore-c-caruso-cfp-21972071
- Twitter/X: https://twitter.com/tsginvest
- Facebook: https://facebook.com/tsginvest

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Profile page: https://yespress.io/salvatore-caruso
Published by YesPress — https://yespress.io
Last updated: 2026-10-09